, the total size of transactions does not exceed 15% of CPN
from December 22, 2015. On other cases, Nattapon was found accepting orders to trade securities in a client?s account from a person who was not the owner of the account without any written authorization
Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551
of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551 (2008
of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551 (2008
: (1) throughout the period when the mutual fund management company does not sell or repurchase investment units, or ceases accepting purchase or redemption orders for investment units; (2) from the day
regulation would prohibit digital asset business operators from: (1) Accepting deposits of digital assets from the customers and lending, investing, staking or employing such digital assets; (2) Accepting
the engagements, it is expected that the audit firms complete the risk assessment on client acceptance and continuance process before accepting or continuing engagements to ensure that the risks
) accounting system and internal control system of audit clients prior to accepting an audit engagement, (5) correlation between compensation and audit quality, and (6) root causes analysis and remediation plan
information in evaluat ing the independence or conflict of interests when accepting audit engagement. • T h e r e m a y b e t h e a u d i t engagement acceptance that introduces the self-review threat or