by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC probed into {A} case
avoidance of doubt, this Paragraph 5 does not apply to the notification of non-public information for any Enforcement Purposes in the jurisdiction of the Authority receiving the information, which will be
country or jurisdiction specified in the database in Clause 14(3); (2) a corporate client with complex shareholding or functional structures that may raise doubt or difficulty in determining the true
country or jurisdiction specified in the database in Clause 14(3); (2) a corporate client with complex shareholding or functional structures that may raise doubt or difficulty in determining the true
business address is in a country or jurisdiction specified in the database in Clause 14(3); (2) a corporate client with complex shareholding or functional structures that may raise doubt or difficulty in
all services performed for clients, including services performed by entities closely aligned through common employment and other means, and evaluating whether any of those services might impair
common employment and other means, and evaluating whether any of those services might impair independence? a. If “yes,” identify the relevant policies and procedures. b. If “no,” describe how the firm
, and/or the development or acquisition of associated infrastructure. These facilities might include: energy from waste, anaerobic digestion, recycling and other technologies such as the installation of
, they might have identified and assessed such risks but then failed to performed further audit procedures whose nature, timing, and extent are responsive to those assessed risks. Assessing the risks of
-19 outbreak in many counties has not been resolved. Such current situation may have a negative impact on Thai listed companies that have core business in COVID-19 affected countries, or it might