to identify the clients and the true beneficiaries and did not reconsider appropriate credit lines for the clients in accordance with the law. Such neligence exposed the company to risk whereby
the clients in accordance with the law. Such neligence exposed the company to risk whereby inappropriate transactions or illegal actions may be committed and evade detection. Such circumstances would
longer maturity and lower credit rating are exposed to higher level of risk. 26. Special features and key risks of structured notes: Specify the special features and important risks relating to structured
the frequently exposed equipment with antiseptic - Clean the floor with antiseptic every hour - Increase the frequency of cleaning the toilet and checking the sufficiency of toilet paper and soap to
implications for the economy have been severe. Asia is openly exposed to the world economy through flows of goods, labour, capital and people. Therefore, Asian economy is highly dependent on the global trade
engagement risks, and ineffective participation from those involved in the financial reporting process. To mitigate these shortcomings, the SEC has initiated and participated in several ongoing seminars and
take sufficient measures to identify the clients and the true beneficiaries and did not reconsider appropriate credit lines for the clients in accordance with the law. Such neligence exposed the company
has the duty to ensure that all departments have set up their own risk management procedures consistent with one another; (2) Required all risk-exposed departments to draw contingency plans to minimize
and where the audit firms were ineffective in monitoring their staff’s compliance with the ethical requirements. 5. Engagement performance In the SEC’s firm-level reviews of audit firm’s compliance with
the amount determined by the Derivatives Exchange and are unable to offset such excessive position as informed by their derivatives agents will be exposed to the similar foregoing risk. 3.4 Risk