approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or may arisen from conducting business to be
) having internal control system which is approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or
the purpose and mission of the company; (2) having internal control system which is approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess
engagement quality reviewers (EQR) of listed companies must have competence, capabilities and authority at a level not less than auditors in the capital market who audit listed companies. In the event that an
level of examination strictness increases according to the higher level of risk. In case of non-compliance with the above measures, the SET has the power to impose penalties. Moreover, in cases where
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units 3.2 Investment
classification in terms of sensitivity and criticality such as the access control, encrypting sensitive information or information required a high level of accuracy; 2. In handling media under Clause 17, the
and criticality such as the access control, encrypting sensitive information or information required a high level of accuracy; 2. In handling media under Clause 17, the intermediary shall take
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