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

The Securities and Exchange Commission (SEC), with the reports from the Krungthai Bank PLC and the SEC’s further investigation, found that in November 2021 Saowarat had misappropriated her client

her client. Such account user later failed to complete the settlement transactions associated with the trading, consequently causing approximately 12-million baht overdue balance with the securities

business service as a channel for money laundering and terrorist financing such as requiring securities business operator (securities firms and asset management companies) to learn of client?s identity, a so

{G}, they failed to record some of client trading orders correctly and completely.  In this regard, the SEC revealed their inappropriate actions and recorded such demerits for future reference if

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

sentiment driving the SET index and trading values to soar. The securities companies will be required to strictly and cautiously exercise their KYC/CDD and review of client credit line practices, especially

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