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
investment units of foreign fund, such fund shall be in conforming to the following conditions: (a) it has to be under the supervision of a regulatory agency supervising securities and securities exchanges
shall not be executives, staff members, or employees of the securities clearing house or its affiliate; (2) set up a unit for managing risks according to policies concerning risks, provided that payment
system provider specifically to only those who have granted approval under the notification concerning support system provider ; (5) service provider managing payment information for securities trading
support system provider; (5) service provider managing payment information for securities trading approved by the SEC office on conditions, rules and procedures specified by the Office; 4 Repealed by the