case of violation of the aforementioned rules 1.2.4 Communication of the aforementioned rules and penalties to the executives and the employees. For example: they are included in the orientation session
. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
audits, the financial statements, and the auditors through Key Audit Matters (KAMs). The traditional format of audit reports limited auditors’ risk communication to investors and was perceived by investors
parties and personnel responsible for the communication under clause 4(3). Clause 6 In complying with business continuity policy and business continuity plan, intermediaries shall comply as follows: (1
parties and personnel responsible for the communication under clause 4(3). Clause 6 In complying with business continuity policy and business continuity plan, intermediaries shall comply as follows: (1
guidelines for the personnel of the intermediary; (2) establish a cross-check for operation of information security to prevent potential risks; (3) establish communication channels with the SEC Office, the
guidelines for the personnel of the intermediary; (2) establish a cross-check for operation of information security to prevent potential risks; (3) establish communication channels with the SEC Office, the
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
1.5 Where an Institutional Investor outsources its stewardship duties and responsibilities, the Institutional Investor should monitor the discharge of these duties and responsibilities to ensure that