governing law and its inappropriate and insufficient management structure and personnel, Zipmex may be liable to offenses related to client assets, which may potentially harm public interests. Therefore, in
party because it is required to communicate about non-compliance with laws and regulations (NOCLAR) committed by a client to the appropriate regulator; - The firm may consider the network firm as a
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 anonymized data under
specific client industries? 15 Do the https://www.sec.or.th/TH/Documents/Auditor/QAQR-06.xlsx แบบรายงานผลการตรวจสอบด้านเทคโนโลยีสารสนเทศและแผนการปรับปรุงแก้ไขข้อบกพร่อง (แบบรายงานผล IT Audit) กองทุนส่วน
asset ” means an asset deemed to be owned by a client as https://publish.sec.or.th/nrs/6121pe.doc DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent
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