that they are issued by the servicing securities company. In case of suspicion, investors should contact the compliance officer of the securities company without delay. In any case, investment

audit firms should properly weight and rank the risk factors. The factors that associate more risk to the audit acceptance should be allocated more weight than those with lesser risk to ensure the

supporting declaration of identity and additional documents in case of reasonable suspicion concerning investor’s qualifications. Securities company shall revise investor’s information under the first

well as how the auditor response to identified risks, key matters detected throughout the auditing process, and suspicion related to unusual transactions that may be an indicator of fraudulent act; 6

institution which follows the performance measurement standards as set out by the Association; (b) at least the following information is presented on the same page: 1. rank, name, or type of awards received; 2

Association; (b) at least the following information is presented on the same page: 1. rank, name, or type of awards received; 2. date, time or the period when the award was granted; 3. name of the institution

performance measurement standards as set out by the Association; (b) at least the following information is presented on the same page: 1. rank, name, or type of awards received; 2. date, time or the period when

the following information is presented on the same page: 1. rank, name, or type of awards received; 2. date, time or the period when the award was granted; 3. name of the institution giving the award or

presented on the same page: 1. rank, name, or type of awards received; 2. date, time or the period when the award was granted; 3. name of the institution giving the award or rank; 4. statement as referred to

which follows the performance measurement standards as set out by the Association; (b) at least the following information is presented on the same page: 1. rank, name, or type of awards received; 2. date