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
restrictions or duties; (5) avoids any action which may cause conflicts of interest or cause business operation out of reaching professional standards unless it is the action performed under the rules and
review function made up of one or more senior managers responsible for conducting a rigorous, formal, and periodic review, on a regular basis pursuant to an established t credit rating methodologies
, professional advisers (such as external auditor), and information relevant and necessary to perform their duties. 6.2.4 The board should ensure the designation of an internal auditor or establish an independent
between ceasing such employment and serving on the board; b) is or has within an appropriate period been a partner, director or senior employee of a provider of material professional or contractual services
the date on which such giving of advice is made in Thailand. Chapter 2 Operation ____________ Division 1 Contacting, Soliciting, or Giving Advice to Clients and Performance of Duty as Professional
reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment
executive director, employee, staff, advisor earning regular monthly salary or the controlling person of the applicant, its parent company, subsidiary, associate company, same-level subsidiary, major
third party, such as a professional services firm or a non-governmental organization. Skills Assessment Assess the resource requirements and change management program required to embed climate strategy