& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate

manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions

Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3

of exploring and gathering documents and evidence as well as more information from overseas authorities for valuation of overseas investment.  The SEC therefore allowed VTE to submit the audited

. Drafting single form is based on the principle of gathering necessary and sufficient information to ensure provision of appropriate services in compliance with the law, and to provide ease of filing for

securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior

contact and assigned to work for the company. Such trader later sent several trading orders in the client's account without authorization or contrary to the client's orders, causing damage to the client

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

brokerage business, securities dealing business, securities underwriting business, mutual fund management business and securities borrowing and lending business (SBL); (2)  KYC providers, gathering and

complainants, namely (1) the initial clarification and related documents gathering phase, (2) the case consideration phase, and (3) legal proceedings phase. This complaint handling improvement aims to give more