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
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
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
minimum: 1. Security of IT assets ; - access control [Referring to Item 5]; - physical and environmental security [Referring to Item 7]. 2. Information management and confidentiality: - asset classification
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 following:- (1) identify 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
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
subsidiary formed by a joint venture agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or associates
standard for a Non-Publicly Accountable Entities, such securities company may prepare financial statements following expense classification by function form - single layer, according to the Notification of