trading account to trade https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6174 SEC imposes penalties on AEC and its executives and investment consultants upon the client?s asset , (3) use of the client
https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6174 SEC imposes penalties on AEC and its executives and investment consultants upon the client?s asset , (3) use of the client?s trading account to
: • significant changes in the client (such as ownership , management, nature of business or financial position https://www.sec.or.th/TH/Documents/Auditor/QAQR-04.xlsx Excel_Tool_Thailand_Taxonomy_ENG.xlsx
กับร่างหลักการของประกาศสำนักงานเกี่ยวกับมาตรการป้องกันการฟอกเงินและการให้การสนับสนุนทางการเงินแก่การก่อการร้าย และซักซ้อมการเตรียมความพร้อมเพื่อการประเมินการปฏิบัติตามมาตรฐานสากล Principles on Client
/LawsandRegulations/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
. Suppakrit Boonsat, Director of the Thai Digital Assets AssociationMr. Kietisak Limpacharoenkul, Senior Vice President Client Network Management Department, Krungsri Securities
their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law
Assets AssociationMr. Kietisak Limpacharoenkul, Senior Vice President Client Network Management Department, Krungsri Securities
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
number of customers and the investment amount of each client. Following the public hearing on the regulatory sandbox amendment conducted earlier this year, which received favorable responses from most