approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your Customer (KYC) were inconsistent with the SEC's acceptable standards, while the
-off period. Example 2 : There was no documentation of inquiries regarding non-audit services from network firms. In addition, in client acceptance process, some audit firms did not have policies to
. 5. In particular the disclosures should, with respect to conflicts of interest, address the priority given to client interests in decision-making; with respect to collective engagement, describe the
Principles on Client Identification And Beneficial Ownership For The Securities Industry และ Anti-Money Laundering Guidance for Collective Investment Schemes จึงขอเปิดโอกาสให้บริษัทหลักทรัพย์และผู้ประกอบธุรกิจ
Paris Agreement - temperature increases in excess of 4C assuming no transition and a continuation of current policy trends TCFD RISK MANAGEMENT: CONSIDERING CLIMATE INFORMATION IN CLIENT/INVESTEE DUE
: (a) securities borrowing payables, only in the portion not exceeding value of the collateral ; (b) collateral payables; (c) payable to client account; (d) securities sold under the repurchase agreement
the portion not exceeding value of the collateral; (b) collateral payables; (c) payable to client account; (d) securities sold under the repurchase agreement; (4) other liabilities as stipulated by the
the portion not exceeding value of the collateral; (b) collateral payables; (c) payable to client account; (d) securities sold under the repurchase agreement; (4) other liabilities as stipulated by the
17.24 million, increased by THB 6.25 million or +56.93% YoY due to the Company’s launch of a new project for a client in a mobile operator group. In addition, gross profit from information technology
to key members of client management and those charged with governance? 8 Do engagement partners have the appropriate capabilities, competence, authority and time to perform the role? 9 Are the