as summarized below: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to
director, or any person who holds a position equivalent to any of the above regardless of the title, and includes any person who has full or partial authorization under an agreement of management; “affiliate
damages the well-being of society or a specific target population. For the avoidance of doubt, it is acknowledged that the definition of target population can vary depending on local contexts and that, in
. has he/she been appointed as a director or to a key management position at the client? (d) If not a partner – were they a former member of the engagement team within the last two years and have they
position at the client? (d) If not a partner – were they a former member of the engagement team within the last two years and have they joined the client as a director or in a key management position? 3
application shall be in the Form 35-1 as provided in the SEC electronic system; (2) in case where an offer for sale of newly issued shares by a public limited company with no doubt in good corporate governance
must be clearly specified in order to avoid any doubt whether internal information is used to the benefit of the executives. The program must be administered by an intermediary, such as a securities
interpretation of the “Executive” in relation to “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager” Regarding the Notification of the
Accountancy, Thammasat University Bachelor of Commerce, Thammasat University 3. Prof. Viroj Lowhaphandu Position: Advisor to Board of Directors, Central Plaza Hotel Public Company Limited Honorary Member
there are adequate measures to manage conflicts of interest; There is no reason to doubt that the management mechanism will be unable to protect the rights of the shareholders or to treat the shareholders