. · Indications that the client might be involved in any criminal activities. · The reasons for the proposed appointment of the firm and nonreappointment of the previous firm. · The identity and business reputation
all services performed for clients, including services performed by entities closely aligned through common employment and other means, and evaluating whether any of those services might impair
considered by the concerned agency that he or she has participated in causing damage or might be responsible for the damage occurring to the above mentioned company. Date of the incident
person’s names, or avoids using his own name to open an account or process the transaction; (2) the client insists to open several accounts of the same type for no apparent reason, which might indicate an
business payable and derivatives business payables means company encumbrance from undertaking the securities business and derivatives business affected to the third person, namely net balance account of
affected the integrity of derivatives trading in the Derivatives Exchange, or have or may have caused the price of derivatives traded in the Derivatives Exchange to be inconsistent with the normal market
or having been an executive of the ………… Company who was considered by the concerned agency that he or she has participated in causing damage or might be responsible for the damage occurring to the
been altered, the trust shall not be affected unless the trust instrument provides otherwise. Division 3 Amendment to Trust Instrument and Alteration of Trustee _____________________ SECTION 20 An
the data center, the backup site, and network equipment employed areas (i.e., floor switches or routers) that might cause damages to the organization’s information and information processing facilities
result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing