you are a client of a securities or derivatives intermediary who, as a disputant, agrees to be bound by the arbitrator’s decision, a dispute may be settled through arbitration. 2  Listed company means a

, digital assets) obtain/maintain the required specialist knowledge? Does the firm have special training/or tailor-made programs for specific client industries? 15 Do the https://www.sec.or.th/TH/Documents

facilitate development and wider use of financial innovations of due diligence and know-your-client assessments (DD/KYC), (3) supporting electronic non-face-to-face identity verification, and (4) allowing

use of financial innovations of due diligence and know-your-client assessments (DD/KYC), (3) supporting electronic non-face-to-face identity verification, and (4) allowing businesses to access

committed an offense as https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8259 documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client

relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists https

innovations of due diligence and know-your-client assessments (DD/KYC), (3) supporting electronic non-face-to-face identity verification, and (4) allowing businesses to access anonymized data under possession

documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes

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.xlsx

Lifecycle Thailand × Know Your Client Process– Standard risk questionnaire × Focus primarily on risk preference (i.e., an investor’s aversion to risk) and ignore risk capacity (i.e., an investor’s ability to