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
among business operators, investors and the public. At present, it is concluded that the SET will be the core leader and major shareholder in the development company along with providing personnel support
will help investors make data-driven decisions and drive sustainable investment in Thailand, enabling a strong recovery from the pandemic.” Ms. Fabienne Michaux, Director of SDG Impact, concluded
regulators and audit firms in the ASEAN region have just concluded a meeting that discussed initiatives to raise audit quality and market transparency in the region. The ASEAN Audit Regulators Group?s (AARG