subsidiaries Attachment 3: Details of heads of internal audit and compliance units Attachment 4: Details of asset appraisal - 3 - Part 1 Business Operation 1. Policy and business overview Provide an overview on
Attachment 3: Details of heads of internal audit and compliance units Attachment 4: Details of asset appraisal Part 1 Business Operation 1. Policy and business overview Provide an overview on the background
rohibited behaviors, b) inspecting audit works performed by the applicant to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality mangement system to ensure
rohibited behaviors, b) inspecting audit works performed by the applicant to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality management system to ensure
, operational management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives
management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives business
management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives business
หรือผู้ปฏิบัติงานที่มีหน้าที่ควบคุมดูแล เช่น กรรมการ ผู้จัดการ ผู้จัดการสาขา Head Front/Back/Risk/Compliance Fund Manager เป็นต้น 3. หลักการลงโทษผู้บริหาร ใช้หลักการเดิม โทษของผู้บริหาร สูงกว่า โทษของ
company under Clause 3 shall be given an exemption from appointing an independent director upon compliance with the following rules: (1) Being able to demonstrate that it has a supervision policy of the
company under Clause 3 shall be given an exemption from appointing an independent director upon compliance with the following rules: (1) Being able to demonstrate that it has a supervision policy of the