supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
inconsistent with the stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication
stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication and service
stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication and service
complicated, and for the most part the existing laws do not cover all new ways of committing an offense in the capital market. Legal provisions applied to some cases are unclear and open to interpretation
ผู้รับดำเนินการในงานที่เกี่ยวข้องกับการประกอบธุรกิจ (outsource) ซึ่ง บลจ. มีหน้าที่กำกับดูแล (supervise) บุคคลภายนอกดังกล่าวปฏิบัติให้เป็นไปตามหลักเกณฑ์ที่กำหนดเกี่ยวกับงานที่รับมอบหมายด้วย 2
Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities
Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities
adequate personnel with expertise to effectively supervise and administrate the risks of outsourced operation, as well as in case of outsourcing operation in investment management and investment risk
Mr. Sorapoj Techakraisri Mr. Sorapoj Techakraisri, Chief Executive Officer responsible for the operation of Pace Development Corporation Public Company Limited ("PACE") failed to supervise