firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint property interests etc. 2 https://www.sec.or.th/EN/Documents/Auditor/ethical.doc

the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint property interests etc. 2 https://www.sec.or.th/TH/Documents/Auditor/QAQR-03.xlsx

account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12

reference to analysis report.In the case of {A}, a client filed a complaint against her and the SEC's further investigation revealed that she had made decisions to purchase securities without the client's

the true owner of the trading account, and adding a new contact phone number to the client's personal profile even though there was no evidence that the client had ordered the responsible investment

Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the

misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit

from disposal of all share which held in Patara Fine Thai Cuisine Pte. Ltd (Patara) and SK Catering Pte. Ltd (SKC) Singapore total 11 Thai restaurants in the 4th quarter of 2018. In second quarter of

percent which came from the disposal of all shares held in Patara Fine Thai Cuisine Pte. Ltd. (“Patara”) and SK Catering Pte. Ltd. (“SKC”) totaling 11 Thai restaurants in Singapore in Q4 2018. In Q3 2019

derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which