companies. Additionally, the TLCA serves as a representative for listed companies in coordinating and monitoring the amendments to various regulations issued by regulators. This is to ensure that listed
price quotation and securities trading, system for surveillance of securities trading, and system for clearing and settlement of securities, which promote and maintain the integrity, efficiency and
Clients. Princ iple 3: Make Informed Investment Decisions and Engage in Active Ongoing Monitoring of Investee Companies. Principle 4: Apply Enhanced Monitoring of and Engagement with the Investee
Clients. Princ iple 3: Make Informed Investment Decisions and Engage in Active Ongoing Monitoring of Investee Companies. Principle 4: Apply Enhanced Monitoring of and Engagement with the Investee
to: - the timelines for the target achievement, including the target observation date(s)/ period(s), the trigger event(s) and the frequency of SPTs; - where relevant, the verified baseline or reference
Businesses of 2018 News Public information SET/ external party Complaint The SEC Office’s Surveillance System
; (2) enhancing efficiency of preventive measures, surveillance, and enforcement mechanisms in response to technology advancement; (3) increasing market width and depth to attract worldwide investors and
office agreed to execute such transaction even though the contact phone number was not the one given by the client; (3) surveillance system to prevent conflicts of interest: the system was found to be
) surveillance system to prevent conflicts of interest: the system was found to be inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions
; decreasing 33% as compared to the end of the year 2017 of 32,423 million Baht. This was mainly due to the transfer of residences totaling of 3,214 million Baht, and disposition of the hotel, Observation Deck