กับร่างหลักการของประกาศสำนักงานเกี่ยวกับมาตรการป้องกันการฟอกเงินและการให้การสนับสนุนทางการเงินแก่การก่อการร้าย และซักซ้อมการเตรียมความพร้อมเพื่อการประเมินการปฏิบัติตามมาตรฐานสากล Principles on Client
/LawsandRegulations/securities-ITchecklist.xlsx QAQR-03.xlsx Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g
. Suppakrit Boonsat, Director of the Thai Digital Assets AssociationMr. Kietisak Limpacharoenkul, Senior Vice President Client Network Management Department, Krungsri Securities
their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law
Assets AssociationMr. Kietisak Limpacharoenkul, Senior Vice President Client Network Management Department, Krungsri Securities
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
number of customers and the investment amount of each client. Following the public hearing on the regulatory sandbox amendment conducted earlier this year, which received favorable responses from most
. For example, data storage system, management system and custody of client assets. This is to promote flexibility in business operation while ensuring that supervisory guidelines are appropriate and
services.This is an additional requirement, aside from the Know Your Client (KYC) process, to be imposed on non-residents so that the UBOs will be acknowledged. In the meantime, local custodians of bonds
by conducting the process of Know Your Client (KYC) so that they can provide appropriate services. Nowadays, an electronic KYC or e-KYC has been introduced to make KYC processes faster and become