stringent customer approval criteria for commercial lending policies vis-à-vis small and micro businesses. We continued to prioritize risk assessment through prudent screening and close monitoring of
recommended to deal with the said insufficiency; (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard
. In addition, the SEC has recommended the ASCO to revise its KYC/CDD guidelines as well as propose the guidelines for securities transfer between clients so as to prevent fraudulent activities or
Exchange of Thailand. The papers pointed out the significance of making prudent study on information and fundamental analysis of securities prior to making investment decision in order to mitigate trading
, in consistence with the current market conditions. Moreover, as the SEC aims to enhance investors? knowledge and encourage them to make prudent investment decision based on proper information, the new
transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended
May 24, 2012. However, BROOK Independent Financial Advisor (IFA) recommended shareholders to disapprove the transaction, viewing that the acquisition of MAC ordinary shares is not reasonable.? In
the overall terms and conditions and the need for business benefits and opportunities are justified, the independent financial advisor has recommended that the shareholders reject the proposed private
international standards on combating money laundering and the financing of terrorism & proliferation as recommended by the Financial Action Task Force (FATF), thereby removing Thailand from the blacklist of
sustainable development. Hence, a ?CHANGE? was recommended along with adjustment of goal setting with new perspective of processes to reach such goal. This will certainly facilitate financial sector and the