could not record revenue for procurement and fabrication service which not yet deliver to the client. As IFRS 15 state that revenue can be recognized when customer obtains control of that good or service

where the company may be liable to an offense related to client assets, which may cause damage to the clients, pursuant to the resolution of the SEC Board. Zipmex submitted clarifications on the matters

liable to account for the ill-gotten profits. However, a fiduciary duty does not imply that the person must place their client or investors’ interests before their own. INVESTMENT ADVISOR COMPANY: WHO IS

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

Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the

, 2021 Market risk: identified changing customer behaviour towards low-carbon products, and reduced demand for higher carbon products and services. Reputation risk: identified growing expectation from

สินทรัพย์ดิจิทัล มีระบบงานที่รองรับการรวบรวมและประเมินข้อมูลของลูกค้า (Know Your Customer / Customer Due Diligence) (KYC/CDD) ไม่เหมาะสมและเพียงพอให้ Satang ประกอบธุรกิจเป็นไปตามกฎหมาย กฎเกณฑ์ และมาตรฐานการ

with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective system for Know Your Customer and

 {A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was