client is aggressively concerned with maintaining the firm’s fees as low as possible. - Indications of an inappropriate limitation in https://www.sec.or.th/TH/Documents/Auditor/QAQR-04.xlsx securities
that this English trans underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of the securities company or its client during placing short selling order, in case of short
for 10 years possession , nor did she return the borrowed money to the client as agreed.The misconduct of Nutnicha was failure to perform duties honestly by committing wrongful acts against clients
or its client during placing short selling order, in case of short selling by means of entering https://publish.sec.or.th/nrs/5625pe.doc 7307pe.doc of the agricultural derivatives business according to
) documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes
Public https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10129 SEC encourages utilization of NDID to facilitate the intermediaries and investors. by conducting the process of Know Your Client (KYC) so
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 businesses to access
://publish.sec.or.th/nrs/5198pe.doc documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic
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
where the giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the https://publish.sec.or.th/nrs/5776pe.doc Section 4 instruments or