investment advice, was negligent in supervising work control and compliance at the branch, which consequently led to inappropriate investment as far as the client's demand and risk profile were concerned. The
caused by {B}, the bank’s branch manager at the time, whose negligence in inspecting and supervising duty performance of {A}, her subordinate, in a reasonable and proper manner, led to opportunities for
Thai listed company recipients. The conference was held at The Athenee Hotel Bangkok. Finance Minister Arkhom Termpittayapaisith said: “As a regulatory agency, SEC plays an important role in supervising
branch manager at the time, whose negligence in supervising that her subordinate strictly comply with the bank’s regulations led to opportunities for committing the misconduct. Prapai’s act was deemed a
public and stakeholders in supervising and developing a sustainable capital market. The SEC administers the Securities and Exchange Act B.E. 2535 (1992), the Derivatives Act B.E. 2546 (2003), Trust for
, complete and in compliance with rules and regulations of the supervising agencies as well as disclose complete information of the transactions to ensure that they are appropriate and most beneficial to the
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
the Verso International School, the construction of Phase 1 was completed, and the construction of Phase 2 is progressing as planned. The school is ready to open on 17 August 2020. …………………………………. (Ms
which objectives is for promoting and supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “ financial institution ” means
supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “financial institution” means a financial institution under the Interest on