access privileges beyond those necessary to perform their assigned duties, which may create improper segregation of duties. User Access Privileges Direct Data Access System Settings Inappropriate changes
: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to take sufficient measures
inspection also indicated deficiencies of AEC?s core work systems in three areas as summarized below: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their
on behalf of the client , or [ii] providing inappropriate services to many clients which have rendered improper benefits to them as a result of conflict of interest among them; (6) entering into a
behalf of the client, or [ii] providing inappropriate services to many clients which have rendered improper benefits to them as a result of conflict of interest among them; (6) entering into a transaction
behalf of the client, or [ii] providing inappropriate services to many clients which have rendered improper benefits to them as a result of conflict of interest among them; (6) entering into a transaction
benefactors, and thus weakened the prevention of improper client activities. Under such circumstance, if a client committed any wrongdoing, the company could be deemed to have supported or participated in such
finance director, in many circumstances, as follows: 1. Misappropriating money through loan transactions for V Billboard Company Limited (VBB). 2. Seeking improper benefits from the rental and buy-back of
accounting and finance director, in many circumstances, as follows: 1. Misappropriating money through loan transactions for V Billboard Company Limited (VBB). 2. Seeking improper benefits from the rental
Bitkub Online Company Limited Between January 2-21, 2021, Bitkub Online Company Limited ("Bitkub"), a digital asset exchange, provided inappropriate and insufficient systems concerning