branch manager at the time, whose negligence in supervising that her subordinate strictly comply with the bank’s regulations led to opportunities for committing the misconduct. Prapai’s act was deemed a
caused by {B}, the bank’s branch manager at the time, whose negligence in inspecting and supervising duty performance of {A}, her subordinate, in a reasonable and proper manner, led to opportunities for
investment advice, was negligent in supervising work control and compliance at the branch, which consequently led to inappropriate investment as far as the client's demand and risk profile were concerned. The
loans provided by clients, as well as, failing to discharge the duty properly as a manager in supervising and examining the staff's conduct to ensure the compliance with laws and regulations, in violation
aggressive role in developing the market, supervising intermediaries and establishing effective communication with stakeholders under the 4P?s Principle which consists of the following attributes
, complete and in compliance with rules and regulations of the supervising agencies as well as disclose complete information of the transactions to ensure that they are appropriate and most beneficial to the
derivatives exchange shall establish the rules concerning members, measures for supervising members and persons registered with the derivatives exchange and working for members to comply with the rules and
capital market products, investment management, management of the intermediary ’s branch office, supervising account of clients and making investment decisions for clients , operational function, compliance
capital market products, investment management, management of the intermediary’s branch office, supervising account of clients and making investment decisions for clients, operational function, compliance
intended purposes; 9.8 Monitoring and supervising benefit of REIT: specify monitoring and supervising system of REIT; 9.9 Remuneration of REIT manager: specify types and rate of remuneration given to REIT