of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the client; (c) to assess suitability
following actions during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the
following actions during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the
following actions during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the
) to categorize the service user; (c) to assess suitability for providing services to the service user; (d) to consider the ability of the service user to comply with the agreement for service provision
; (c) to assess suitability for providing services to the service user; (d) to consider the ability of the service user to comply with the agreement for service provision. The operation under Paragraph 1
Providing Compliance Unit of an Intermediary
Providing Compliance Unit of an Intermediary
Rules, Conditions and Procedures for Providing Services as Securities Registrar
, originators, underwriters, arrangers, or subscribers for services other than issuing credit ratings or providing access to d. providing a preliminary indication or similar indication of credit quality to an