the ethical requirements element? Note: The definitions of 'staff' or 'personnel' in this questionnaire shall include all relevant staff of the audit firm, such as the firm's employees, network provider
personnel; · require principals and staff to be alert to threats and report them promptly; · require the Ethics Partner to assess the implications and determine whether any safeguards or whether there is a
Data > Intermediaries > List of Securities Businesses / Derivatives Businesses MarketData SHARE : Detail Content List of Securities Businesses
promoting market conduct as an organizational culture; (2) product development that is suitable for customers and sales staff abilities, as well as sales channels, operational systems and control; (3
efforts in strengthening corporate governance in the industry. In the year ahead, countless different challenges are bound to arise and test our strengths, but I believe the SEC management and staff will
system ● Put in place a “competency-based” management system for staff performance evaluation and development ● Adopted a “performance-based” rewards system, with an appropriate employee compensation
quality personnel on audit quality, it becomes necessary for audit firms to maintain a robust system, ensuring that their staff at least meets the required levels of both competency and ethical standards
efforts toward market development, the SEC continued to invest in staff skills and restructured the organization to enhance proactivity, efficiency and readiness for upcoming changes. Under the Change
experience in the field, he has held several posts including Dean of the Faculty of Law, Vice Rector for Personnel and Vice Rector for Student Affairs at Thammasat University. Apart from being Professor of Law
income payer shall be responsible for deducting a 15-percent withholding tax from taxable income which shall include (1) a share of profit or any other benefits of the same characteristics derived from the