PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
February 14, 2022 6 กระบวนการจดัท าประเด็นส าคญัดา้นความย ัง่ยนื (Materiality Process) การจัดล าดับความส าคัญโดยการส ารวจจากกลุม่ผูม้สีว่นไดเ้สยีขององคก์รทกุกลุม่ Step 1: Identification of Relevant
major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The
Client Acceptance: Firm's Reference /Guidance Notes Description 1 The standard documentation highlights all important matters for consideration, including: • integrity and identification checks on client
categorized by issues 2022 3 Action on financial statements of listed companies 2022 4 Action on approved persons 2022 5 Aggregate complaints data 2022 6 Investigations classified by types of offences
in place, Institutional Investors should at least have the following: 2.2.1 Written policies for the prevention, identification, minimization and management of conflicts of interests. 2.2.2 Procedures
notification prescribing different courses of action from those prescribed in the law governing securities and exchange. Section 12. The special purpose juristic person shall carry out various activities as
such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and
by such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and
by such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and