A. RAP & Client Acceptance A.0 Risk Assessment Process for Acceptance and Continuance of Client Relationships and Specific Engagement element: Firm's Reference /Guidance Notes Description 1 What are

}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving

CDP Financial Services Questionnaire 2022 Glossary Translation of this glossary was made possible through funding from the UK PACT GREEN RECOVERY FUND. CDP Financial Services Questionnaire 2022

follows:   (1)  During February – March 2017, Nutnicha solicited a client to buy IPO shares of a company, claiming that she had the right to buy such shares as an employee of Apple Wealth Securities. She

the Company through the juristic persons under the control of SSG CH, SSG III and KG, i.e. Asia Credit Opportunities I (Mauritius) Limited (“ACO I”) and Link Capital I (Mauritius) Limited (“Link Capital

Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the

, L.P. (“SSG III”). Under the MOU, SSG III and its subsidiaries wish to engage in the debt restructuring of the Company through the juristic persons under the control of SSG CH, SSG III and KG, i.e. Asia

 {A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was

the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk

negligent with regard to supervision of the company?s core work systems.   Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s