securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail client , the securities company
the person controlling securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail
outlook for 4Q17 should be positive compared to last year after passing the mourning period and Royal Cremation Ceremony since the end of October 2017. For hotel renovations, the Company already completed
in 20172, mainly due to an ongoing postponement of festivities subsequent to the mourning period over the passing of His Majesty King Bhumibol Adulyadej and the shrinkage of advertising spending in a
ascertain the client’s financial status, repayment ability, investment objectives, level of knowledge, understanding, and experience in derivatives trading for the purpose of consideration of an application
support of the consideration of the application for opening an account in order to ascertain the client’s financial status, repayment ability, investment objectives, level of knowledge, understanding, and
the company. Monitoring Activities 16. The organization monitors and evaluates to ascertain whether the components of internal control are completely present and suitably functioning. Questions Yes No
ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the following questions: - Who does this? - How often is it done? - Have there been any such situations during