affected client. Nuchanart’s demeanors above were wrongful acts against investors, which were deemed failure to perform duties or give services with loyalty in accordance with the Notification of the
Client : KYC) ซึ่งเป็นผู้มีถิ่นที่อยู่ในต่างประเทศ (Non-resident) เพื่อให้ทราบผู้ได้รับผลประโยชน์ที่แท้จริง ขณะที่บริษัทหลักทรัพย์ที่ให้บริการดูแลและเก็บรักษาตราสารหนี้ (local custodian) ต้องดำเนินการเพื่อ
trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital
to disclose the material information on the investment policy before offering it to the client. For a pooled fund, AMC is additionally required to disclose the PVD factsheet to the fund members and
between 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
Acceptance and Continuance of Client Relationships and Specific Engagements Engagement Performance Resources Information and Communicatio n Monitoring and Remediation Proces Regulatory Summary of
to develop appropriate policies and procedures. 10 Describe how the firm continually evaluates client relationships, other non-audit services, and specific engagements so that commercial considerations
establish efficient systems for managing digital asset wallets and cryptographic keys to ensure effective custody of digital assets and safekeeping of client assets. As for securities companies, they are
relationships between 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