decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of
revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the
programs for specific client industries? 15 Do the https://www.sec.or.th/TH/Documents/Auditor/QAQR-06.xlsx Excel_Tool_Thailand_Taxonomy_ENG.xlsx thresholds. The rationale of determining these specific
client assets and the system . The calculation is as follows : NCR = Liquid Assets (risk adjusted) - Total Liabilities General Liagilites + Margin Requirement In case of shortfall, the operator is
purpose of using digital assets as a means of payment for goods and services, etc.; (2) In the case where a digital asset business operator finds that a client uses the account opened for the purpose of
be voidable unless regulated otherwise, etc.; (2) Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1
the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The use of a client’s assets, fiat money and
/securities-ITchecklist.xlsx QAQR-03.xlsx Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint
securities. In addition, it was found that a client of {B} asked her to make trading decision on his behalf while {C} submitted the client's securities trading orders via the internet from the IP address of
receive professional publications that keep its personnel abreast of changes in accounting and auditing and any client industry specific pronouncements? If no, how you keep current with changes? 14 Discuss