continuously conducted to learn of investor behaviors, evaluate knowledge level and satisfaction towards the SEC?s investor protection mechanisms. The feedback so obtained will be beneficial to the SEC?s
investment diversification; and (7) the asset management company will be required to evaluate risk profile of, and give proper advice to, each fund member (suitability) who has investment choices
find supporting evidence to satisfy the audit procedures due to limitation on scope of audit imposed by the company management in several matters including audit procedures to evaluate effectiveness of
system (KYC) that are appropriate to evaluate product risks against characteristics of each customer; - separate departments or personnel responsible for customer assets safekeeping from other operational
direct sales market and alter its marketing budget in line with revenues from sales and focused more on online channels. The company has the distribution costs for the first six month in total of 229.1
future may alter the IFA’s opinion on the transaction accordingly. Information and documents used in preparing this report included but are not limited to the following: ▪ The Resolution of the Company’s
intended to limit the spread of COVID-19. The health and safety of our staff and customers remains our top priority. Our teams constantly evaluate the situation and use appropriate protocols to serve
intellectual property ) and human capital? 7. How do we embed these non-financial issues in our engagement activities? How do we evaluate their effectiveness in https://www.sec.or.th/cgthailand/TH/Documents
property ) and human capital? 7. How do we embed these non-financial issues in our engagement activities? How do we evaluate their effectiveness in https://www.sec.or.th/cgthailand/TH/Documents/ICode