continuously conducted to learn of investor behaviors, evaluate knowledge level and satisfaction towards the SEC?s investor protection mechanisms. The feedback so obtained will be beneficial to the SEC?s
investment diversification; and (7) the asset management company will be required to evaluate risk profile of, and give proper advice to, each fund member (suitability) who has investment choices
find supporting evidence to satisfy the audit procedures due to limitation on scope of audit imposed by the company management in several matters including audit procedures to evaluate effectiveness of
system (KYC) that are appropriate to evaluate product risks against characteristics of each customer; - separate departments or personnel responsible for customer assets safekeeping from other operational
intended to limit the spread of COVID-19. The health and safety of our staff and customers remains our top priority. Our teams constantly evaluate the situation and use appropriate protocols to serve
intellectual property ) and human capital? 7. How do we embed these non-financial issues in our engagement activities? How do we evaluate their effectiveness in https://www.sec.or.th/cgthailand/TH/Documents
property ) and human capital? 7. How do we embed these non-financial issues in our engagement activities? How do we evaluate their effectiveness in https://www.sec.or.th/cgthailand/TH/Documents/ICode
market capitalization as of May 31 (assessed every two years). Country-level assessments evaluate publicly disclosed information from listed companies using the OECD guidelines and peer review to ensure
sale of Eastern Cuisine does not meet the target. However, the company had engaged a financial advisor, who is not recognized by the SEC Office, to evaluate