. · 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
cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a
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
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
Fundamental of Financial Statements (UFS) [ ] Role of the Compensation Committee (RCC) [ ] Improving the Quality of Financial Reporting (QFR) [ ] DCP Refresher Course [ ] others (please specify) [ specify
specifying that the advice is given on behalf of the investment advisory company and the investment advisory company shall be responsible for the advice given to each customer; (4) statements on fundamental
________________ Clause 13 5 A securities company licensed to undertake the securities brokerage business shall do fundamental analysis report and provide such information to client, provided that such process shall
force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation shall come into force as from 1 April 2016