Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant ● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full
) Account and Auditing-Report on the Observance of Standards and Codes (AA ROSC) by World Bank Get to Know Us Strategic Plan Toward International Excellence Doing Business FSAP CG ROSC CG Watch AA ROSC
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systems that may cause damage to investment, fund management inconsistent with prospectus, and incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants
account, pay-in slip, transfer-deposit-withdrawal slips, statement report, solicitation documents/contracts, and a certified copy of personal checks and other evidence relevant to and useful for the SEC
social networks ตอ้งสอดคลอ้งกบัภาพลกัษณ์และอตัตลกัษณ์ของส านกังานดว้ย 5. การใช้ Social Networks - หา้มพนกังานใช ้user account และ password เดียวกนักบั user account และ password ที่ใชใ้นงานของส านกังาน
committee aims to proactively identify key risks and issues relevant to growth and emerging markets, as well as enhance regulatory capacity for these countries, which account for 80 percent of IOSCO members