and continuance of client policies and procedures? If yes, mode of communication. If no, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff

Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

personnel; · require principals and staff to be alert to threats and report them promptly; · require the Ethics Partner to assess the implications and determine whether any safeguards or whether there is a

staff, as well as making it difficult to attract new talents. To improve the retention rate of high-potential employees, several audit firms started to adapt their strategy and policies concerning

-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital

capabilities to ensure adequate audit personnel for the amount of current and future audit works because the quality of assurance services truly depends on the capabilities of audit staff, obtained through

leader communicate its policies for quality to its personnel? If yes, describe how the firm communicates its policies and procedures to personnel. a) informal dialogue b) training seminars c) meetings d

allocated human and information resources, as well as collaborated with other organizations to mitigate the impacts on the business sector and personnel in the capital market. In addition, all mechanisms in

dated 15 September 2010 for considering facts and evidence relating to orders imposed on the personnel in the capital market business before this Notification comes into force, such committee may continue

the company’s related employees for effective and complete preparedness to ensure that KLeasing will be able to conduct business in strict compliance with laws. 5  Market Conduct The Bank of Thailand