/client due diligence หรือ KYC/CDD) (4) การรายงานธุรกรรมที่มีเหตุอันควรสงสัย (reporting of suspicious transactions) ตามกฎหมายฟอกเงิน (5) การเก็บรักษาเอกสารหลักฐานภายใต้กระบวนการรู้จักลูกค้าและการตรวจสอบ

; การรายงานธุรกรรมที่มีเหตุอันควรสงสัย (reporting of suspicious transactions) ตามกฎหมายฟอกเงิน (5)  การเก็บรักษาเอกสารหลักฐานภายใต้กระบวนการรู้จัก

Clause 6 In case where the facts become apparent that the SEC Office discovers any of the following suspicious circumstances, the SEC Office may not grant approval for the offer for sale of 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 reasonably suspicious circumstance not to

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 reasonably suspicious circumstance not to

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 reasonably suspicious circumstance not to

questionable whether the auditors had sufficiently obtained an understanding of the client’s operations and IT systems and appropriately tested the relevant controls in their process of identifying and assessing

INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...

Annual Report 2004 S h a p i n g t h e T h ai C a p i t a l M a r k e t A n n u a l R e p o r t 2 0 0 4 S E C U R I T I E S A N D E X C H A N G E C O M M I S S I O N , T H A I L A N D This year’s annual report features Benjarong ceramics. Benjarong, meaning five colours, gained popularity in the royal court and the high society of Siam in the late Ayudhya period (A.D. 1350 - 1767). But it was during the early Rattanakosin period (A.D. 1782 - present), in the reigns of King Rama II and King Rama...

15. The SEC Office may not grant an approval for an offer for sale of sukuk to any application when it appears to the SEC Office certain facts that lead to the following suspicious circumstances: (1