ascertain the client’s financial status, repayment ability, investment objectives, level of knowledge, understanding, and experience in derivatives trading for the purpose of consideration of an application
support of the consideration of the application for opening an account in order to ascertain the client’s financial status, repayment ability, investment objectives, level of knowledge, understanding, and
the company. Monitoring Activities 16. The organization monitors and evaluates to ascertain whether the components of internal control are completely present and suitably functioning. Questions Yes No
ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the following questions: - Who does this? - How often is it done? - Have there been any such situations during
,” describe how the firm monitors its independence 18 Does the firm review unpaid fees from clients to ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the
case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives, knowledge, understanding and experience regarding
the client before opening the account. In case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives
opening the account. In case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives, knowledge, understanding and
Licensing Manual for the Public, the SEC Office shall ascertain the facts in accordance with the procedure and method as prescribed in the Licensing Manual for the Public, and notify in writing the skeptical