auditing by the auditor approved by the SEC Office; (5) know-your-client measures, client due diligence process and measures against financial assistance to terrorists or money laundering. Section 31. In the
loss to the account holder Failing to comply with a client’s instruction Solicitation to purchase securities causing a loss of money Others, please specify………………………………………………………………………… Others, please
person who fails to comply with the orders of or fails to give assistance to the competent officer in the course of performing his duties under Section 30 shall be liable to imprisonment for a term not