firms did not concern over significant client’s issues before accept those clients. Example 1 : There was insufficient documentation regarding client acceptance evaluation. In addition, some evaluation
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
: You can contact us during business hours (no lunch break). For contacts out of business hours, our staff will contact you back during the next business hours. Should you encounter any corruption or
operation instantly when encounter it such as disable, delete out from the system or change the password etc.. [M] 4. Security of the computer server. · Having method or compliance guideline for inspect the
officer, default user etc. and cease the operation instantly when encounter it such as disable, delete out from the system or change the password etc.. [M] 4. Security of the computer server. o Having
expenditure because there was a problem of purchase power and incomes that remained not recovered. Household income in agriculture sector remained encounter with additional pressure from the flood situation in
holidays. For contacts out of business hours, our staff will contact you back during the next business hours. Should you encounter any corruption or malpractices of any SEC official, you can lodge a
better results than that of previous year. This element, however, contains more key deficiencies than other ISQC1 elements and thus remains an area of key concern for the SEC. The inspection findings are
proposing to review the regulations governing debt securities of all types and related notifications. In essence, the proposed amendments to the debt securities regulations concern the followings: (1