client assets at an amount less than 500 million baht and having less than 10,000 clients – to appoint at least five members to the board of directors, and of this at least two board members shall be
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
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
Principles on Client Identification And Beneficial Ownership For The Securities Industry และ Anti-Money Laundering Guidance for Collective Investment Schemes จึงขอเปิดโอกาสให้บริษัทหลักทรัพย์และผู้ประกอบธุรกิจ
: (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
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