specialist audits or audit clients in a specialist industry (e.g. financial institution) obtain/maintain the required specialist knowledge Do the firm have special training/or tailor made for specific client
, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries , as well as other notifications or guidelines issued under such Notification
Services to Clients of Securities Companies and Derivatives Intermediaries , as well as other notifications or guidelines issued under such Notification. Clause 4 In providing services to clients regarding
the game) (ข) เป็นผลิตภัณฑ์จากต่างประเทศที่เป็นตราสารหนี้ที่ได้รับอนุญาตให้เสนอขาย ในลักษณะโครงการ (Debt Issuance Program) จากหน่วยงานกำกับดูแลตาม (2) เพื่อผู้ลงทุนแต่ละรายแบบเฉพาะเจาะจง (tailor-made
the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and
securities, as well as the suitability for investment and the relevant risk exposure. The effectiveness of the Registration Statement neither represents that the Securities and Exchange Commission, the Capital
Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities
Material changes and developments Give a brief account on the material changes and developments regarding the controlling power and the nature of business during the preceding year as well as the material
shall undertake all actions necessary to vest the new trustee with the right over the trust property and to allow the new trustee to learn of the previous and onward management as well as deliver
information related to clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “ investment ” means an acquisition