documents and conducted client due  diligence in accordance with the law on money laundering suppression and other relevant laws. In cases where shareholders? representatives or proxies are other types of

markets.  The draft notification also specifies the details of the service agreements, for example, the provision on receiving client orders, where the business operators and the clients can agree on the

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

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