Exchange Act B.E. 2535 (1992) with the duty to supervise and develop the Thai capital market to ensure efficiency, fairness, transparency and integrity. One of the SEC?s responsibilities is to monitor and
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
credit ratings. Except for a credit rating that clearly indicates it does not entail ongoing surveillance, once a credit rating is published, the CRA should monitor the credit rating on an ongoing basis by
simpler and easier to track over time; setting a different metric for each mode based on best in class performance would be difficult to monitor as it would require resources to keep updating it
Microsoft Word - Forestry Criteria document_July 2020.docx Climate Bonds Initiative Forestry Criteria Document Forestry* Criteria The Forestry Criteria for the Climate Bonds Standard & Certification Scheme November 2018 * These Criteria also cover the conservation and restoration of non-forested land Assessing climate change mitigation and adaptation aspects of financial products is not straightforward. The benefit of having an authoritative standard eases decision-making and focuses attention o...
a mutual fund and shall monitor and oversee acts that may cause a conflict of interest to the unitholders and any acts that may have an unfair characteristic toward the unitholders or may cause the
monitor the effectiveness of the company’s risk management. 6.1.7 The board has to ensure and monitor that the company complies with relevant and applicable law and standards, whether domestic