, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example

workforce through a blend of skills and experience. In addition, staff development program will also be addressed to develop employees’ skills and capabilities. Third R – Renovate: Investment of over Baht

. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the

are provided to ensure that executives and employees perform the duties with integrity and ethics: 1.2.1 Appropriate code of conduct for executives and employees; 1.2.2 Prohibitions on any actions by

, cover the following issues: 8.2.1 Procedures for communicating with relevant persons, correctness and modern of name list and contact data. 8.2.2 Procedures for evacuating employees or moving personnel to

continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are able to work

. Other employees involved in this incident were also disciplined by TMB for failing to comply with bank’s operating procedures.  In considering the appropriate administrative sanction, SEC takes into

Meeting of Shareholders No. 1/2018 3. Approved the issuance of the Warrant to purchase ordinary share for Employees Stock Option Plan (CCET-WC), distributed to directors and/or employees of the Company and

Meeting of Shareholders No. 1/2018 3. Approved the issuance of the Warrant to purchase ordinary share for Employees Stock Option Plan (CCET-WC), distributed to directors and/or employees of the Company and

(ESOP) is a tool to create motivation for personnel of the company to work effectively to promote the growth of the company by providing opportunity for directors and employee to take part in the