least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work
client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources
identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources of information (client verification
identity using reliable sources of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1
clear such transactions through his securities trading account on continual basis and in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that
clear-cut regulations to accommodate business operation and service provision in the form of partnership so that business operators will be able to run their business according to their expertise and take
matter to ensure that the investors will have accurate and clear information for investment decision-making. Meanwhile, investors are urged to follow up the company?s clarification and take precaution in
exercise her duty with care. In addition, she tried to rectify the mistake immediately but the revised information appeared in the news was not clear enough. In this regard, the committee advised the SEC to