select appropriate products for an investor and to monitor and rebalance the portfolio on a constant basis. The rules having been issued are to facilitate the prompt provision of the wealth advice
the operators. The report shall, however, contain information as specified by SEC. The required information will enable SEC to efficiently monitor the operator’s progress in resolving the complaints
will monitor the progress of the ongoing legal proceedings and collaborate fully with relevant agencies in subsequent processes after the filing of the criminal complaint to support law enforcement
inquiry officer, the decision to prosecute by public prosecutors, and ultimately the judicial discretion of the court in rendering a verdict. In this regard, the SEC will monitor the progress of the ongoing
reporting lines are clearly defined in conformity with the good internal control principle. We also emphasize thorough, accurate and regular disclosures on risk management and capital to the public. 3 Details
Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand JANUARY 2013 Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand January 2013 Acknowledgements This assessment of corporate governance in Thailand has been prepared by David Robinett, Ratchada Anantavrasilpa, and Catherine Hickey of the World Bank Global Capital Markets Practice, as part of the Reports on Observance of Standards and Codes Pro...
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
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
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