30 November 2017. The SEC later extended the deadline for PACE as requested, to 15 January 2018. However, PACE has failed to submit the clarification and disclose the required information within the
companies were also required to submit their Q1/2015 financial statements urgently. Also, AIE must submit the opinion of audit committee on internal audit report concerning cost of sales and inventories which
an inaccuracy in gathering or processing data from which the financial statements are prepared and factual misstatement with no doubt (42%), and reclassification for presentation (40%). Incorrect
clients (on-going KYC/CDD). Clause 9. In conducting the KYC/CDD process pursuant to Clause 8, securities company is required to perform the following:- (1) identify the client’s true identity (client
-going basis throughout the course of the relationship with clients (on-going KYC/CDD). Clause 9. In conducting the KYC/CDD process pursuant to Clause 8, securities company is required to perform the
Can Go Wrong? 13 • Data is inaccurate or incomplete • Recording of unauthorized or non-existent transactions • Potential loss of data or inability to access data as required • System processing is
statements. The request was made on the ground that the independent financial advisor is in process of exploring and gathering documents and evidence as well as more information from overseas authorities for
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Consultant on Complex Products Type 1 No. Relevant Knowledge Qualifications List of Required Examinations1 (1
Investment Analysis on Technical Factors List of Required Examinations1 (1) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on Securities2and Derivatives (4) Knowledge
passenger transport) or per tonne-km (for freight) basis. This allows all modes of transport to be compared and qualify should the assets meet the required standard. The primary objective is to ensure that