notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
monitor the effectiveness. However, there is still room for improvement for Thai listed companies. For instance, there should be a system to review and monitor how the corporate strategies are implemented
, company’s compliance unit must monitor and examine all advertisements and prepare monthly report on advertising oversight for board of directors’ approval. The monthly reports are then compiled and submitted
different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor
for all business units to monitor and manage risks. These committees closely monitor and evaluate the impact on all aspects of business including sales, expense, and liquidity, as well as ensuring that
monitor regulatory criteria regarding the implementation of IFRS 9 Financial Instruments. The Project, as an operating team, provided opinions to ensure that the new regulation is appropriate for business
of assets of each client in a separate account which is segregated from the derivatives broker ’s account. A derivatives broker shall report to clients on custody of assets of clients in accordance
in a separate account which is segregated from the derivatives broker’s account. A derivatives broker shall report to clients on custody of assets of clients in accordance with rules specified by the
in a separate account which is segregated from the derivatives broker’s account. A derivatives broker shall report to clients on custody of assets of clients in accordance with rules specified by the
. Annually screen and monitor all companies in the portfolio for deforestation and conversion performance to ensure that all relevant companies are not breaching deforestation-specific internal policies