be a qualified person with independence, objectivity and required competency; (3) Update the requirements per current standards and guidelines to be in alignment with international standards and other
ratio) 7 : 1 6 : 1 * ) 12 5. KPMG 2564 Big 4 Independence testing 6. KPMG 2564 Big 4 1 13 7. KPMG 2564* Big 4 (Listed company /partner) 22 2.84 * / portfolio allocation 2 108 / KPMG 2564 54
(staff/ partner ratio) 19 : 1 25 : 1 (staff/ manager ratio) 3 : 1 6 : 1 * ) 11 5. EY 2563 - 2564 Big 4 Independence testing 6. EY 2563 Big 4 1 12 7. EY 2563* Big 4 (Listed company /partner) 3.983 2.84
do not override the quality of the work performed and the independence of the firm and its personnel. 11 Describe how the firm reviews and updates the Quality control policies, procedures, and
) Soliciting a client from the securities company he used to work for to open a trading account with Apple Wealth. He lied that the shares in the client's trading account at his former employer had been
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.,LTD. http://www.merchant.co.th PST PHILLIP SECURITIES (THAILAND) PUBLIC CO.,LTD. http://www.poems.in.th/index.aspx SIAM SIAM WEALTH SECURITIES CO.,LTD. https://www.siamwealth.co.th UBS UBS SECURITIES
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assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth