, that audit quality will not be compromised as the SEC will require both groups of auditors to work for audit firms that perform and equip with quality assurance system in compliance with professional
. Implementation 34 5. Moving Forward 35 THE INVESTMENT GOVERNANCE CODE PRINCIPLES Principle 1 Adopt a Clear Written Investment Governance Policy 37 Principle 2 Properly Prevent and Manage Conflicts of Interest and
financial instruments and put in place effective regulations to ensure compliance, fairness, and prevent exploitation of stakeholders. As the market became more developed, new products were introduced and
The live webinar features special lectures and CEO panel discussion to share views and experiences on business management in compliance with respect for human rights principles. The seminar agenda
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
Detail Content Announcement of Signatory of the I Code Signatories to the I Code 1. Why become a Signatory to the I Code? The announcement to become a Signatory to the I Code would enhance adherence
Detail Content Announcement of Signatory of the I Code Signatories to the I Code 1. Why become a Signatory to the I Code? The announcement to become a Signatory to the I Code would enhance adherence
ensure compliance with respective laws and developing capital markets of the two countries. The MoU, signed by SEC Secretary-General Vorapol Socatiyanurak and SECC Director General Ming Bankosal, aims at
compliance unit (Head of Compliance) However, KWI appoint the highest level responsible person in the compliance unit on 5 September 2023. SEC Act S.113 Settlement Committee Meeting No. 3/2024 Settlement
to maintain their profitability, going forward. 1.3 Regulatory Changes Significant regulatory changes that may have affected KBank’s and K Companies’ business operations included: Regulations for