Operational risk refers to the risk of direct or indirect losses to a bank’s revenue or capital resulting from incorrect or inadequate processes, personnel, operating and/or IT systems, or external events
capital resulting from incorrect or inadequate processes, personnel, operating and/or IT systems, or external events
and {A} failed to perform duties of independent financial advisor for the IPO applicant with due care, causing deficiencies in the following matters: (1) deficient due diligence on a transaction of
-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s
the required voting proportion ? one of the integral parts of such rule - for the Auditing Advisory Committee to pass a resolution concerning consideration of deficient characteristics or behaviors of
ensure business continuity and prevent damage caused by deficient information security ?Currently, operating business of listed companies no longer deals with economic prosperity alone. Rather, managing
audit of the financial statements for Q3/2016 on the basis of (1) insufficient evidence on the reasonableness of the management's decision to make transactions for investment in two associate companies
information by knowing that PPPM had insufficient liquidity to repay principal and interest of the Debenture No.2. The published information may mislead investors about PPPM’s materiality information that is