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
to be the highest level responsible person in the management of a company; “ head of department ” means a person responsible for the work in the departmental level of a company; “ branch manager
, Property Development, A company entered into the service concession arrangement or the Joint Operation and Joint Investment with grantor, Emerging Markets)? If so how are above “normal risk” clients managed
should be verified; 1.2 Roles and responsibilities of high-level management Objective The management company is a vehicle which raises funds from retail investor to invest in capital market, therefore it
Notification shall come into force as from 16 March 2007. Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform
Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the
acceptable level on a continued basis by clarifying significant risks. In this regard, the Company may disclose the full version of the policy, operational framework and risk management plan on the Company’s
. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking
: Cancellation of the Notification of the Capital Market Supervisory Board regarding Undertaking of Securities and Derivatives Businesses of Securities Company and Derivatives Intermediary dated 6 September 2013
separate disclosure in (b). In cases where an independent director also holds the same position at the parent company or a subsidiary or subsidiaries of the same level, disclose the total remunerations