Held Before Acquisition/ Disposition 2 % Group of Held Acquisition/ Disposition 2 % Group of Held After Acquisition/ Disposition 2 Remark 3 File No HUMAN KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC
regulations and professional standards and to ensure that they will be able to exercise their duties efficiently to the fullest capacity. Meanwhile, the SEC is laying out the foundation of a robust and adequate
capital market, audit firms should ensure that each individual auditor is assigned proper workload by considering his or her capabilities, experience and important factors as mentioned above. In 2020, there
within the full period of 3 years preceding the year of application filing toward the date of application filing; □ (2.4) In the case where the shareholder is an individual person: Violation record under
application filing toward the date of application filing; □ (2.4) In the case where the shareholder is an individual person: Violation record under the law specified in the Notification within the full period 3
the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, does the responsible person have sufficient and appropriate experience, authority, and time
Companies and Muang Thai Life Assurance PCL 50 4.6 Capital Requirements 52 4.7 Credit Ratings 54 5. Operations of Support Groups 57 5.1 Human Resource Management 57 5.2 IT Management 60 6. KASIKORNBANK’s
” concept. Moreover, under the “Segment of One” concept, we focus on strengthening our capabilities by using data and advanced technology to understand and anticipate each individual customer’s need and
ultimate responsibility over the system of quality management (SOQM) functions within the firm? B3 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how
engagement and appropriately respond to the identified risks. The process is also to ensure that such acceptance or continuance comply with the relevant ethical requirements. From the 4. Human Resources For