shareholders? meetings, etc., (2) facilitating businesses? access to necessary information under possession of governmental agencies for the benefit of due diligence and know-your-client assessments (DD/KYC), (3
systems. Subsequently, the company failed to meet the standards on work systems. For example, the systems for custody of client assets and Know Your Customer (KYC) were inconsistent with the standards
assets which remained under control or in possession of BX were transferred thereafter to other out-of-control wallets without client’ instructions. That actions incurred losses to others and public in
information disclosure and risk warnings regarding client asset keeping on their websites and applications. The SEC views that digital asset investors should receive notifications in order to be aware of and
.pdf ethical.doc 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 ventures, joint
investment limit , the intermediary shall undertake the additional acts as follows; (1) apply for an allocation from the investment limit for each client before commencing the service provision. In this regard
investment limit, the intermediary shall undertake the additional acts as follows; (1) apply for an allocation from the investment limit for each client before commencing the service provision. In this regard
structures to focus appropriately on client or beneficiary interests. In considering what time- horizons are appropriate, institutional investors will need to consider the best interests of their clients and
international norms; ▪ Reduces the investible universe but all sectors are investible. 5 SEC Classification : ใชภ้ายใน (Internal) 6 ▪ Step 1: Identify client priorities ▪ Step 2: Publicise clear screening
in 2018 to Baht 151 million in 2019. This is due to the operating cost of Baht 14 million in Unimit Engineering Myanmar and a provision for doubtful debt on a client of Baht 17 million. Profit / (Loss