Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
, including domestic and global economic policies. Relevant actions taken are as follows: Establishment of the Risk Oversight Committee to increase level of independence of risk governance structure and
of the monitoring and root cause analysis on such deficiencies, remediation plan preparation and the follow-up of the remediation plan. The SEC will continue to assist audit firms and follow up on
Division Central Treasury Department – Finance and Control Division KASIKORN BUSINESS- TECHNOLOGY GROUP Internal Audit Audit Division Audit Committee Risk Oversight Committee Operating Committee Credit Risk
investment universe. These policies should be communicated to clients and beneficiaries in plain and understandable language. 2.2 Active monitoring Institutional investors should monitor closely the companies
maintenance, pest control), ongoing maintenance, clearing, thinning, fertilisation, management, harvesting and extracting. The cost of setting-up and maintaining protection measures (e.g. rangers and monitoring
Reporting Council (IIRC), The International Framework (2013) 22 Annex 1: ICGN Guidance Anti-corruption Practices Corporate Risk Oversight Executive Remuneration Gender Diversity on Boards Integrated
through which the objectives of the company are set, and the means of attaining those objectives and monitoring performance are determined. The Principles do not intend to prejudice or second-guess the
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
UOB Asset Mannagement [Thailand] Co.,Ltd, Between May 13, 2019 and August 1, 2021, UOB Asset Mannagement [Thailand] Co.,Ltd, a fund management company, there is a system to ratio monitoring and