element that the firm considers as high risk? Please describe the relevant responses to these risks A.1 Audit methodology and procedures: Firm's Reference /Guidance Notes Description 1 Does the firm use
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
licensed firm Give advice Retail investors Licensed & regulated by Home regulator ACMF pass holder Fast-track approval Give advice Non-Retail investors Attachment is subject to host’s Laws and Regulation
the category of derivative broker; (2) a securities company licensed to undertake securities business in the category of securities brokerage; (3) any other derivative business operator as additionally
the category of derivative broker; (2) a securities company licensed to undertake securities business in the category of securities brokerage; (3) any other derivative business operator as additionally
the category of derivative broker; (2) a securities company licensed to undertake securities business in the category of securities brokerage; (3) any other derivative business operator as additionally
management company or private fund management company; “Mutual fund management company” means any securities company licensed to undertake securities business in the category of mutual fund management
; “Management company” means any mutual fund management company or private fund management company; “Mutual fund management company” means any securities company licensed to undertake securities business in the
exchange; “Management company” means any mutual fund management company or private fund management company; “Mutual fund management company” means any securities company licensed to undertake securities
Krungthai-axa life insurance Public Company Limited Krungthai-axa life insurance Public Company Limited (?Krungthai-axa?), a company licensed Securities Brokerage : Investment Units, failed to comply