future work towards identifying the main characteristics of family controlled listed firms in Asia, and describing specific challenges to ultimately inform regulators/policy-makers about what’s happening

management integrity, identifying related parties of the potential audit clients, and extending the verification of audit independence to the immediate and close family members of the audit personnel. 20

policy to prevent and manage conflicts of interest as prescribed in Clause 17 shall describe at least the following contents: (1) identifying conflicts of interest which may arise in every process of

auditors are very crucial when identifying threats to auditors’ independence and potential conflicts of interest, which, in turn, could negatively affect the reliability of the audit works. The SEC noted

doubtful accounts were Baht 135.8 billion or 7.0 percent of loans. In terms of capital, in September 2017 the Bank of Thailand (BOT) announced the guidelines for identifying and regulating Domestic

profitability. 4. Describe the material effects of government regulations on the issuer's business, identifying the regulatory body. E. Group Structure If the issuer is part of a group, provide information about

controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a

for risk controlling [M] o Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy o Identifying clearly the purpose and scope

fiduciary duty of institutional investors and their fund managers to take into account all of the information which assists in identifying and mitigating risk on the one hand, and assists in identifying

of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must