remediation plan among key responsible persons in the SOQM? If yes, please describe. If yes, how frequently are the RCA and remediation plan communicated? B12 When the firm identifies any deficiencies through
. The risk management policies should support identification and prioritisation of early warning signals of material risks. The risk management policies should be reviewed regularly, such as annually
existing processes regularly to stay on top of emerging risks Identify and assess climate-related risks: conduct a materiality analysis to determine business exposure to sectors and geographies that are
statements of targeted companies are now regularly analysed together with their news releases. It enables us to prevent or prosecute the siphoning of money out of public companies for the benefit of major
visitors from 14 institutions. ë Articles and publications (1) Educational articles are regularly published in the newspaper and posted on the SEC website including: "Window to the SEC" (published in Post
whose investments range from Baht 2-10 million, through seminars and special activities held regularly for them. Regarding our credit policy, KBank prioritizes prudent credit underwriting which must be
published a statement on their compliance or otherwise with the Code, and requests that signatories notify the FRC when they have done so, and when the statement is updated. 15. The FRC regularly monitors the
Thailand: - (a) registration and renewal of an applicant as a registered auditor, and (b) regularly review or inspect the quality of work of the registered auditors and their audit firms in accordance with
bank officials. Also investors should monitor movement of mutual fund as well as deposit accounts regularly, and contact the responsible bank immediately in case of inquiry
accounts regularly to prevent other persons from using the accounts to trade securities without the investors’ authorization. Besides, transaction conformation documents must always be monitored to make sure