whether the code of conduct is complied: 1.3.1 Monitoring and assessment by an internal audit unit or a compliance unit; 1.3.2 Self -assessment by executives and employees; 1.3.3 Assessment by independent

company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the

in writing with an approval from the board of directors of the company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking

] laws, objectives or articles of corporation, and the resolutions of the board of directors or of the shareholders’ meeting; (b) breaching the law relating to the supervision of the capital market whether

(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the

application for approval to the Office together with the following document evidence: (1) scope of services provided during the hours and days applied for. (2) monitoring and supervision plan to be use during

พัฒนาการในตลาดทุน โดยเฉพาะอย่างยิ่งจากการใช้เทคโนโลยีและนวัตกรรม เช่น การใช้เทคโนโลยีปัญญาประดิษฐ์และข้อมูลขนาดใหญ่ (AI/Big data) ในการกำกับดูแลและติดตามการดำเนินงานของผู้ประกอบธุรกิจ (off-site monitoring

ethical requirements and quality Performance ? 4 Is the work of all registered auditors in the firm, including partners, subject to quality review from network firm or monitoring unit and appraisal? If yes

supervision in segments other than car title loan. KBank has improved policies, processes, and operational systems to accommodate and comply with relevant regulations, as well as will closely monitoring on new

: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Part F: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the authority