identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
) 29 Sites Internal Verification 8 Sites Certified by External Verifier (LPO,RM3,SLY RM9,CWN,UDN,KKN,SMI) 100% Certified of Operation Site by External Verifier 100% Certified of Operation Site by
documentation of several key pieces of information, including: no records of the sources of documents and information used; no evidence of the auditors’ verification for the accuracy and completeness of the data
. Calibration of Sustainability Performance Targets (SPTs) 3. Bond characteristics 4. Reporting 5. Verification The SLBP recommend that issuers publicly communicate their rationale for the selection of their KPI
communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management
shall have a clear principle in taking of purchase or redemption order of investment units and verification of the acceptance of such order shall to be in accordance with the prospectus in order to gain
verification of the acceptance of such order shall to be in accordance with the prospectus in order to gain confidence among investors. Guidelines 1. Accepting of purchase or redemption order of investment units
; (2) Confirmation statement; (3) The evidence of margin call in the case where the derivatives broker calls for a customer to deposit additional margin; (4) Account of derivatives trading of each
; (2) Confirmation statement; (3) The evidence of margin call in the case where the derivatives broker calls for a customer to deposit additional margin; (4) Account of derivatives trading of each
restriction; (6) in case of an offering of structured notes that requires the quota verification of underlying shares, the Company has been notified by the SEC Office of the confirmation of such underlying