accountability in accordance with the professional code of ethics, auditing standards, and other additional regulations prescribed by the law governing securities and exchange. Yours sincerely, Signature
quasi-incompetent person; (3)( having disreputable background or managing any business in a manner indicating a lack of professional accountability or due care as specified in the notification of the
offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
/EquityDebt/Pages/Auditors.aspx#Tabcontent2 2. การเพิ่มปริมาณผู้สอบบัญชีที่สามารถลงนามรับรองงบการเงินได้จะทำให้มีการกระจายงานและผู้สอบบัญชีทำงานได้ด้วยความทุ่มเทมากขึ้นและเพิ่ม accountability ให้แก่ผู้สอบบัญชี
information security incident management without delay; (3) put in place a disciplinary process to take action against any employee who has committed an IT security breach. Additional Guidelines 1. The examples
, regardless of whether the sentence has been suspended, except for the offences committed through negligence or minor offences; (4) being or having been a political official or holding or having held any
”) จึงเห็นว่า มาตรการหนึ่งที่จะเสริมสร้างให้ผู้บริหารและ Fund Manager ให้ความสำคัญในเรื่องดังกล่าว คือ การกำหนดให้บุคคลดังกล่าวมีความรับผิดชอบส่วนตัว (personal accountability) ในการปฏิบัติหน้าที่ดังกล่าว
have committed predicate offences or money laundering offences under the Thai or foreign laws, including their associates; (2) list of name of politically exposed persons (PEPs), either Thai or foreign
its personnel committed in the name of the intermediary ; (2) the insurance shall be used only for the maintenance of capital under Paragraph 1(3) of Clause 4 of the Notification concerning Maintenance
against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and