describe C3 Does the person who is responsible for supervising the investigation ·       Has sufficient and appropriate experience ·       Has authority within the firm; and Is otherwise not involved in the

investment advice, was negligent in supervising work control and compliance at the branch, which consequently led to inappropriate investment as far as the client's demand and risk profile were concerned. The

caused by {B}, the bank’s branch manager at the time, whose negligence in inspecting and supervising duty performance of {A}, her subordinate, in a reasonable and proper manner, led to opportunities for

Thai listed company recipients. The conference was held at The Athenee Hotel Bangkok. Finance Minister Arkhom Termpittayapaisith said: “As a regulatory agency, SEC plays an important role in supervising

branch manager at the time, whose negligence in supervising that her subordinate strictly comply with the bank’s regulations led to opportunities for committing the misconduct. Prapai’s act was deemed a

businesses under supervision Presently, supervising “ digital asset businesses” under the royal decree on digital asset businesses, B.E. 2561 cover three business groups: digital asset exchange; digital asset

2018 ? The SEC is seeking public comments on the principles and draft regulations under the Digital Asset Business Law to lay out guidelines for supervising offering of digital tokens https

Business Law Bangkok, 17 May 2018 ? The SEC is seeking public comments on the principles and draft regulations under the Digital Asset Business Law to lay out guidelines for supervising offering of digital

is seeking public comments on the principles and draft regulations under the Digital Asset Business Law to lay out guidelines for supervising offering of digital tokens https://www.sec.or.th/EN/Pages

managers as new businesses under supervision Presently, supervising “ digital asset businesses” under the royal decree on digital asset businesses, B.E. 2561 cover three business groups: digital asset