support of the consideration of the application for opening an account in order to ascertain the client’s financial status, repayment ability, investment objectives, level of knowledge, understanding, and
the company. Monitoring Activities 16. The organization monitors and evaluates to ascertain whether the components of internal control are completely present and suitably functioning. Questions Yes No
ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the following questions: - Who does this? - How often is it done? - Have there been any such situations during
,” describe how the firm monitors its independence 18 Does the firm review unpaid fees from clients to ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the
margin in 2Q2017 was 11.85% of net sales, upgraded from 9.76% in 2Q2016. The consolidated net profit for 6M2017 was THB 918 million, strongly improved by THB 262 million or 39.98% as compared to 6M2016
) packages, which currently accounted for 20% of fixed broadband subscriber base, while a new platform of AIS PLAYBOX is being upgraded to enhance customer experience. As a result, ARPU slightly declined by
case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives, knowledge, understanding and experience regarding
the client before opening the account. In case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives
opening the account. In case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives, knowledge, understanding and
upgraded CPN’s rating and its ratings of senior unsecured debentures to “AA” from “AA-“. The upgrades reflect CPN’s stronger financial profile, driven by solid operating performance and reliable streams of