) documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes

://publish.sec.or.th/nrs/5198pe.doc documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic

documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes

identities or real beneficiaries, evaluation of customers’ investment suitability, update of customers’ information, use of consulting experts, no pressure on customers’ decision-making, and specific

. • Anecdotal evidence suggests firms that choose to list via RTOs (back-door listing) are low quality firms and that these transactions can be associated with pump-and-dump schemes. • Evaluation on the merits of

and effectiveness evaluation, and to build database systems and infrastructures that maximize the use of technologies to support future work of the SEC. Documents SHARE : Building Confidence in the

risks and catch new opportunities. Changing global risk landscape Assessment of risk exposure of assets/investments Changing investment landscape Changing shareholders’ and stakeholders’ expectation

evaluation. The 2010 evaluation showed overall satisfactory results. Minor revisions were made to the evaluation questionnaire for the SEC Board to enhance clarity and better reflect the board’s supervisory

necessary, but any assessment should be clear about the base assumptions made.  Align the resulting activities with the table of economic activities from Section 4 or Taxonomy Excel Table 3 The evaluator

businesses. Focus has been on formulating area- based lending strategies given the uneven economic recovery. We continued to prioritize risk assessment through prudent screening and close monitoring of