the subject of any banning or prohibition order of sale by Home Regulator. Yes No If “No”, please specify __________________________________________________
and superiors) – how is this prevented? What process does the firm do to eliminate or reduce this risk? F Effect of computerization on audits: 1 How is the firm dealing with the following (external
the Capital Market Supervisory Board governing subscription, underwriting and allotment of newly issued securities. Clause 7. The prohibition of securities subscription under Clause 5 or the prohibition
to allocate securities under the Notification of the Capital Market Supervisory Board governing subscription, underwriting and allotment of newly issued securities. Clause 7 The prohibition of
NRI CIS have been or would be offered for sale in Home Jurisdiction, and have not been the subject of any banning or prohibition order of sale by Home Regulator. Yes No If “No”, please specify
of the outbound product is not subject to any prohibition order by the regulators: (a) being a regulator which is a member of the International Organization of Securities Commissions (“IOSCO”) and is
of the outbound product is not subject to any prohibition order by the regulators: (a) being a regulator which is a member of the International Organization of Securities Commissions (“IOSCO”) and is
make it impossible to match such orders. 3.6 Risk from Position Restriction or Prohibition The Derivatives Exchange, the Clearing House or the Office of Securities and Exchange Commission may order
need to resign; · require the documentation of all considerations and justification where firm chooses to safeguards against rather than eliminate a threat; · prohibit audit team members from making or
institutions established by the specific law. (2) a written contract upon the appointment of an agent for the custody of client’s assets shall be arranged. Such contract must contain a prohibition on appointment