, especially those products for which the investment consultants receive high sales commissions or want to boost sales volume. Moreover, there was a lack of persons to monitor their investment after the
monitor the aggregate limit, since tokens can be transferred globally and directly among mailto:aunchisa@sec.or.th mailto:archari@sec.or.th aunchisa Underline aunchisa Line aunchisa Typewriter January 22
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
close management and monitor of performance of over 1,500 personnel in on-ground marketing teams and cash van sales force to promptly action on any changing circumstances in order to bond good relations
membership card, “Bangchak Green Miles” debuted, and Bangchak Mobile Application which provide customers with convenience and swiftness was introduced. However, net marketing margin declined from the
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
timely manner prior to deterioration of customers’ debt servicing capability and overall credit quality of KBank. Monitor customers’ credit line utilization and customer status via early warning signs
the main categories of products sold and/or services performed for each of the last three financial years. Indicate any significant new products and/or services that have been introduced between the
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