security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
of the public prosecutor, and the adjudication of the court of justice, respectively. In this regard, the SEC will monitor progresses in the legal proceedings and will cooperate fully with relevant
UOB Asset Mannagement [Thailand] Co.,Ltd, Between May 13, 2019 and August 1, 2021, UOB Asset Mannagement [Thailand] Co.,Ltd, a fund management company, there is a system to ratio monitoring and
, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117
investment strategies, product selection guidelines, investment monitoring and active engagement in addition to disclosing the fund management results to check whether they align with the set sustainability
6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this
anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this Notification, the anti-money laundering legislations