characteristics and natures of transactions to be regarded as “suspicious transactions;” (2) have in place monitoring systems to promptly identify or detect suspicious transactions; (3) arrange to have proper
systems; (11) inspect records and evidence to detect potential issues arisen from the use of cloud service. 3.2. establish the service agreement between the cloud provider and the intermediary under Clause
Clause 31 in order to identify the real client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is
from clients to accommodate the SEC’s request. 4. I well recognize and understand the requirements in the notification of the SEC regarding to the approval of foreign auditors and I am willing to comply
entering into any transaction; (e) risk tolerance. Clause 32 For the purpose of knowing a client , an intermediary shall consider received information as prescribed in Clause 31 in order to identify the real
with a client. Such procedure should have adequate process to identify and verify client’s true identity in order to ensure that the client is the person appears on the documents referred to during the
appropriate experience and ability, and necessary authority, to assume that responsibility. If yes, is their appropriate experience and ability sufficient to identify and understand quality control issues and
another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or affiliates, they may be presented in business groups; - In case
agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are several subsidiaries or associated companies, they may be presented in
clients An intermediary shall compile [i] sufficient information relating to clients in order to identify the clients and [ii] other information for supporting its properly provided services; (10