, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example

evaluate clients risk? 5 Regarding integrity checks, does the firm conduct, for example: • communications with existing or previous professional accountants; • inquiry of personnel/third parties such as

, additional measure is not required at this stage.

announced a measure for temporary liquidity management by allowing asset management companies to borrow or enter into repurchase agreements at the maximum rate of 30 percent, instead of the usual 10 percent

measure to control the spread of COVID-19. The seminars will be broadcast live every Friday throughout the month of May, from 16.00 to 17.00 hours. The episodes in chronological order are as follows:  1

assessment programs organized by international agencies provides opportunities to measure our practice against the international benchmarks.  During the past years, Thailand and the Thai Capital Market have

+, which is the service of Zipmex Pte. Ltd, and gained benefits from digital asset exchange fees. Additionally, such operation of Zipmex had no measure to protect the conflict of interest and to control the

evaluate a supplier’s performance and to obtain an overall score corresponding to the SEP performance. On a quarterly basis, divisional audit committees review all of the SEP audits performed and evaluate

relevant technology element Identify and assess risks arising from IT Understand, identify, and test relevant ITGC Conclude on risks arising from IT and determine audit response Evaluate deficiencies in ITGC

in which they invest in order to assess their individual circumstances, performance and long- term potential, and to consider whether there is value in intervening to encourage change. 2.3 Proactive