, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from

orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading

system. As for trading room cases, some investor contacts failed to prepare complete reports of client orders while others provided inaccurate information on the trading reports. For example, phone orders

to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

company to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

. However, gross profit increased from 12.3% in Q1/2019 to 14.4% in Q1/2020. 2. Management Service (“MS”) had a increase in gross profit for Baht 6 million. Main reason was both client retention and new

: “securities holder” means any securities holder accepted by the securities registrar. “client” means any securities issuer accepted by the securities registrar. Clause 2. In providing services as securities

client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is https://publish.sec.or.th/nrs/6086pe.doc บท

.pdf ethical.doc 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. joint ventures, joint

รู้จักผู้ลงทุน (Know Your Client : KYC) การจัดประเภทผู้ลงทุน การจองซื้อ investment token เป็นต้น 2. การซื้อขาย investment token : ผู้ประกอบธุรกิจสินทรัพย์ดิจิทัลสามารถ outsource งานที่เกี่ยวข้องกับการ