/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process
- Construction - Emerging Markets - A company entered into the service concession arrangement or the Joint Operation and Joint Investment with grantor If so how are above “normal risk” clients managed/ monitored
-General of DSI’s conflicting opinion on additional charges under Section 307, 308, 309, 311, 313 and 315 of the Securities and Exchange Act and under Section 264 and 268 of the Penal Code, and on the
Director-General of DSI’s conflicting opinion on additional charges under Section 307, 308, 309, 311, 313 and 315 of the Securities and Exchange Act and under Section 264 and 268 of the Penal Code, and on
operating result – Relative to last year quarter’s, Loss Ratio had dropped by 8.64% (From 67.87% to 59.23%). Underwriting had been more selective. Sales associated with high risk clients had been monitored
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
and professionals Carrying out businesses with greater flexibilities; getting supports for strengthening competitiveness; being assured of stability of the systems monitored and maintained to
each type of capital market products and investment proportion. Trading orders will be executed according to the selected portfolio advisory and will be monitored and rebalanced to maintain its