employ technologies to monitor and protect investors? For more information on the conference and the registration fee, please visit www.iosco2023thailand.com . Registration ends on 15 May 2023
Securities and Exchange Commission, Thailand (2) Criteria were unclear on risk assessment process, most noticeably when overall conclusion of the risk assessment was not supported by the corresponding detailed
can monitor the guidelines for exercising the voting rights and the exercising of such rights by the management company; 6 (d) Does the mutual fund provide channels and procedures for the investors
– that our business operations take human rights into consideration. We also monitor suppliers’ business undertakings to ensure strict compliance with the Supplier Code of Conduct, explicitly showing that
. Clause 21. A securities company shall clearly determine the method and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended
and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended transaction of the client does not violate or fail to comply with the
company shall clearly determine the method and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended transaction of the client does
the TSQC 1 requirements and our observations. However, we still identify the observations on monitoring process in some audit firms, as follows: • The monitor ing guidel ine in firm-level and engagement
for new employees; employees annually sign for acknowledgment of the rules and penalties; the code of conduct is publicized for employees and outsiders. 1.3 There are procedures to monitor and assess
from time to time, to allow the SEC Office to monitor compliance with this Notification, within a time period specified by the SEC Office, provided that the requirement does not cause unreasonable burden