Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
which are not purported to keep client’s assets servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or
oversee that they are in compliance with rules and regulations of the Securities and Exchange Commission and the Stock Exchange of Thailand as well as other laws related to the company business. 2
or amber thresholds and criteria. If the activity criteria mention compliance with "sectoral criteria and thresholds", find the mentioned table to reference for the activities in energy sector (Table
opposition to auditor's code of ethics. Q: In compliance with Section 89/25, if auditor reports facts through Auditor's Report or informs the company's management through letter, will the auditor be
management. 5.4.3 The board should ensure that IT security policies and procedures are in place. Explanation A company’s governance of enterprise IT should cover: (1) Compliance with relevant law and
investigation and found that Ravi had taken advantage of the information on SPORT's operating results for the third quarter of 2015. The information became known to him by virtue of his position as the company's
According to given tips and the SEC’s further investigation, it was found that MRC - BIZ led by Tanit had offered for sale and given trading service of digital tokens through public solicitation
failed to inform a client of material information that was likely to affect investor's interests.Following the SCB report, the SEC probed into the case and found that a client wanted to sell investment