, which requires at least three fourths of the total voting shares of the attending shareholders, excluding those with a conflict of interest. The SEC advises MACO shareholders to study the
or cease innovations but should study and learn from them closely for the best management of risks, particularly systematic risks. Therefore, consumer protection policy can be set properly and
Subcommittee whose major role is to study and propose guidelines for building market competitive edge and promoting all stakeholders’ capacities. The Subcommittee’s objectives include promoting the public’s
not be in breach of LTF and RMF criteria. In all cases, investors should seek full information of the products and study it carefully before making an investment transaction via any platform, mobile
the market regulator and ASCO as a number of potential listed firms would become virtually invisible to investing public. ASCO agreed to further conducting study to tackle with the concern and was of
; (2.8) อื่น ๆ 15.45 – 16.30 Case study ประเด็นที่ได้จากการตรวจสอบ
_____________________________ Clause 41 An intermediary shall study information relating to capital market products proposed to a client , and shall have the process to ensure that a person responsible for introducing services
Exercised by an Intermediary _____________________________ Clause 41 An intermediary shall study information relating to capital market products proposed to a client, and shall have the process to ensure that
for them on these issues Holding a lecture on Governance, Risk Management and Compliance (GRC) for executives Organizing training and evaluation of employees’ knowledge of compliance with the Code