directors to be the highest level responsible person in the management of a company. “head of department” means a person responsible for the work in the departmental level of a company. “branch manager” means
to seek benefits for themselves, which was deemed failure to perform duties or provide services with loyalty pursuant to the Notification of the Capital Market Supervisory Board.*The SEC has revoked
, resulting in 2 years and 6 months imprisonment for 122 counts (2) for dishonesty and failure to discharge her duty as director with due care and loyalty. (3) for dishonestly converting listed company’s
BCP’s loyalty card, “Bangchak Green Miles” that allows members to collect points from purchase of any product. Developments were also made to the member card system in the form of a Digitized Loyalty
ค่าตอบแทนที่ได้รับเนื่องจากการนำเงินของกองทุนรวม หน่วยลงทุนนั้นไปลงทุนในหน่วยลงทุนของกองทุนรวมต่างประเทศ (loyalty fee หรือ rebate) เข้าเป็น ทรัพย์สินของกองทุนรวมหน่วยลงทุน หากบริษัทจัดการได้ดำเนินการตาม
แบบ RLA (Risk Level Assessment) [สำหรับการนำส่งรอบที่ 1 ปี 2566]
capital market product having high-risk or complex characteristics; “general manager” means a person who is assigned by the board of directors to be the highest level responsible person in the management of
................04 Activities for Enhancing Audit Quality...................05 Summary of Audit Inspection Results A. Firm Level...................08 B. Engagement Level...........................28 Root Cause
....................................................... Quality Assurance Review Panel ................................... Activities for Enhancing Audit Quality ............................ Summary of Audit Inspection Results A. Firm Level
person who is assigned by the board of directors to be the highest level responsible person in the management of a company. “ head of department ” means a person responsible for the work in the