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

also increased by 2 0 .8 %. The number of both in-patient and out-paient were increased by 16.3%, also, revenue from out- patient and in-patient were increased by 14.7% and 31.5%. Cost of medical

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

the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk