structure that all of its board of director members worked full-time. This kind of structure did not facilitate an efficient check and balance system since the directors were monitored by the compliance unit
, breaching the regulations of the Stock Exchange of Thailand and consequently being imposed upon by the organization?s punitive orders. Efficient internal control and stringent compliance units of
improve itself to become an efficient agency having good risk management on both strategic and operational aspects. The SEC must also be transparent, timely & up-to-date, examinable, equipped with competent
more efficient and up to speed with the ever changing global market conditions. Meanwhile, we are communicating with investors and market participants to educate and prepare them for compliance with the
Clause 2, the derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation
derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation, operational
hedging 3. position of each types of goods or variable 4. position of each counterparty 5. position that is loss (c) efficient internal audit unit responsible for auditing the operation of the company; (d
from: 1. total position 2. position without hedging 3. position of each types of goods or variable 4. position of each counterparty 5. position that is loss (c) efficient internal audit unit responsible
that is loss (c) efficient internal audit unit responsible for auditing the operation of the company; (d) independent compliance unit with acceptable standards and reliable for inspecting the operation