. Victor was then a UOB Kay Hian Co-CEO, a chief of institutional client unit and direct supervisor of the staffs providing services to institutional clients. Although, the Stock Exchange of Thailand
ที่สอง (1 มกราคม 2556 - 31 ธันวาคม 2558) พบว่าทุกแห่งผ่านการตรวจสอบคุณภาพ โดยได้คะแนนเฉลี่ยสูงสุดด้านการตอบรับงานและการคงไว้ซึ่งความสัมพันธ์กับลูกค้า (Client acceptance and continuance: A&C) เนื่องจาก
maintain net capital in compliance with the governing law and its inappropriate and insufficient management structure and personnel, Zipmex may be liable to offenses related to client assets, which may
client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is https://publish.sec.or.th/nrs/6086pe.doc บท
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
enhance the capability to develop new products to catch up with the technology changing and the dynamic marketing. Operating profit in Q1-19 totaling Baht 979 million or Baht 71 million down from the same