and the determination to drive the business towards sustainability, as deemed appropriate by the Company, to be used as guidelines for investors to understand and monitor future business directions of
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
Bangkok, October 15, 2014 ? The SEC supported Thaipat Institute in announcement on progress level assessment of Thai listed companies? anti-corruption (anti-corruption progress indicator). The
assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3
oversight system Management shall be responsible for providing; 1. Policies and practices on keeping client’s assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of
/Assessment/ROSC_Thailand_web.pdf Principles of Corporate Governance - G20 version effective redress for violation of their rights. Equity investors have certain property rights. For example, an equity share in
Minority Shareholder. “During the course of assessment, the SEC proactively participated in the revision and promotion of various measures to enhance minority investor protection, resulting in the
the Company or the group of companies, as specified by the Board of Directors (if any), to be used as guidelines for investors to understand and monitor future business directions of the Company. 1.2
information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD process, securities company shall monitor