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
และบริหารจดัการเทคโนโลยีสารสนเทศระดบัองคก์รท่ีดี (governance of enterprise IT) (2) หมวดท่ี 2 การรักษาความมัน่คงปลอดภยัของระบบเทคโนโลยสีารสนเทศ (IT security) โดยมีรายละเอียดดงัต่อไปน้ี 2.1 แนวทางปฏิบ
effectively support KBank operations. - Preparation of data protection measures, currently in the process of implementing Data Protection program as a security measure and for the prevention of risks related to
clients, an intermediary shall comply with the rules prescribed in Chapter 1/1 of this Notification as well as have operating systems for supervising the procedure of such communication and service
which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for establishment] from the Securities and Exchange Commission. 2 The Law on Financial