-immunization, with knowledge and ethics, to create a sustainable market. 4 Statement of Intent (2017) 5.1 Living the values The SEC recognizes that human resources drive the organization’s ability to achieve its
derivatives exchange; “derivatives clearing house” means an entity licensed to operate business as a derivatives clearing house; “personnel in derivatives business” means: (1) a person who assumes a job for the
verify the appropriateness and evaluate both the ethical risks and the ability to perform work of the staff. Nonetheless, the SEC encourages the firm to set out the policies that limit its staffs’ capacity
whether organize seminar, event and more. The company will continue to develop in order to sustain its future growth as well as adhering the security, job expanding and consideration of all stakeholders
the company, regardless of the job title; “Fund Manager” means mutual fund manager or private fund manager; “Department Director” means any person responsible for the work of a department in the company
directors to take the highest responsibility in managing the company, regardless of the job title; “Fund Manager” means mutual fund manager or private fund manager; “Department Director” means any person
Thailand SEC Classification : ใชภ้ายใน (Internal) Discrimination against LGBTI in the workplace persists • 45% of LGBTI Thais had job applications refused because of their gender identity • 46% of LGBTI
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
the deficiencies found at both levels are a result of a few factors, such as shortage of human resource within the profession, improper job assignment, an audit planning that failed to respond to
quality in these areas. The root cause analysis on some audit firms’ continual lack of the ability to fully remediate their deficiencies revealed a scarcity of experienced and competent staff to assume