this goal in the future."________________________* Consisting of (1) allowing personnel to dress according to the gender identity or sexuality of a person, (2) arranging areas suitable for the number
is compulsory to obtain an investment management business license, establish the readiness of work systems and personnel and comply with the investment policy disclosed in the mutual fund schemes and
firm. ** An audit firm that has passed an inspection of the SEC has an audit quality control system in line with professional standards and sufficient personnel
credible, (2) the operation is independent, (3) they apply the principle of good governance in their risk management and personnel management, (4) they disclose correct and sufficient information, as well
Data Protection Act B.E. 2562 (2019). Preparing the readiness of personnel in capital market at all levels of the organization is, therefore, the fundamental task for business operators under
system (KYC) that are appropriate to evaluate product risks against characteristics of each customer; - separate departments or personnel responsible for customer assets safekeeping from other operational
Agency - Debenture Holders’ Representative - Approved Personnel in Capital Market (e.g. Investment Analyst, Investment Consultant, Investment Planner, Fund Manager, and Executive). Administrative Sanction
, securities business operator, derivatives business operator, financial advisor, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business
collaboration of audit firm leaders, auditors and personnel. Nevertheless, some audit firms have yet to remove deficiencies in engagement performance and monitoring while they are revising their audit manual and
policies and procedures 2 Does the firm have channels for firm personnel to raise any concerns in a manner that enable them to come forward without fear of reprisals? If yes, please describe 3 Does the