the ones established by the IFAC; (4) “Quality Assurance Review Panel” means a body of persons appointed by the SEC Office to give advice and recommendations regarding supervision of auditors in the
Associations. Clause 17 . In conducting KYC/CDD process throughout the course of the relationship with clients (on-going KYC/CDD), securities company shall establish a review process to ensure that the client’s
Securities Industry Associations. Clause 17. In conducting KYC/CDD process throughout the course of the relationship with clients (on-going KYC/CDD), securities company shall establish a review process to
review process to ensure that the client’s records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records
governance and regulatory requirements for new directors and executives Undertaking continued training and evaluation of employees’ knowledge of compliance with the Code of Conduct and Anti-Corruption Policy
governance and the Code of Conduct for new executives - Organizing lectures on good corporate governance for KBank executives 10 - Undertaking continued training and evaluation of employees’ knowledge of
CONGLOMERATE, to ensure common understanding and practices • Organizing training and evaluation of employees’ knowledge of compliance with the Code of Conduct and Anti-Corruption Policy via the KBank e-Learning
for them on these issues Holding a lecture on Governance, Risk Management and Compliance (GRC) for executives Organizing training and evaluation of employees’ knowledge of compliance with the Code
เสี่ยง ระดับความเสี่ยง ที่ยอมรับได (risk appetite) (ค) การประเมินคาความเสี่ยง (risk evaluation) เพื่อประเมินโอกาสและ ผลกระทบตอการปฏิบัติงานและการดําเนินธุรกิจ (1.2) การจัดการความเสี่ยง (risk treatment
General Meeting of Shareholders Organizing training and evaluation of employees’ knowledge of compliance with the Code of Conduct and Anti-Corruption Policy via the KBank e-Learning system Holding a