was no evidence that the client had ordered the responsible investment consultant to do so. Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct
the position of the Chairman of the Board of Directors is vacant or the Chairman is unable to perform his or her duties, the Vice-Chairman, if available, shall convene the meeting. In the absence of the
convene a Board of Directors meeting. In the event that the position of the Chairman of the Board of Directors is vacant or the Chairman is unable to perform his or her duties, the Vice-Chairman, if
Management 1 (ISQM 1) and the support for audit firms in the Thai capital market to acquire audit software and audit tools to help them perform the audit work. In addition, the SEC launched a hotline
(1) to (4) called by other names; (6) member of a committee which is appointed or assigned by an intermediary to perform duties relating to operational function, compliance function, internal audit or
against risk, and greater than the Bank of Thailand’s requirement. As evidenced, capital adequacy ratio (CAR) of KASIKORNBANK FINANCIAL CONGLOMERATE (the Conglomerate) according to the Basel III Accord was
which is appointed or assigned by an intermediary to perform duties relating to operational function, compliance function, internal audit or risk management, for instance, a compliance committee, a
) person holding a position equivalent to the positions under sub clause (1) to (4) called by other names; (6) member of a committee which is appointed or assigned by an intermediary to perform duties
a financial institution shall perform such revision and updating within a period of time stipulated by the law on financial institution business ; (b) the information for the purpose of assessing
a financial institution shall perform such revision and updating within a period of time stipulated by the law on financial institution business2; (b) the information for the purpose of assessing