UOB Asset Mannagement [Thailand] Co.,Ltd, Between May 13, 2019 and August 1, 2021, UOB Asset Mannagement [Thailand] Co.,Ltd, a fund management company, there is a system to ratio monitoring and

conflicts of interest and prioritise advancing the best interest of clients. Principle 3: Make informed investment decisions and engage in active ongoing monitoring of investee companies. Principle 4: Apply

interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account

investment decisions and engage in active ongoing monitoring of investee companies. 4. Apply enhanced monitoring of and engagement with the investee companies if monitoring pursuant to (3) is considered

this factor when assigning audit engagements to the partners and the EQCRs to ensure that both have ample amount of time to get involved with the engagements. 6. Monitoring To enable the audit firms to

of the monitoring and root cause analysis on such deficiencies, remediation plan preparation and the follow-up of the remediation plan. The SEC will continue to assist audit firms and follow up on

information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit

first MOA is for cooperation in monitoring and oversight of fund mobilizing companies or capital market business operators, entering the rehabilitation process or involved in a bankruptcy case pursuant to

operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring

เสริมสร้างและรักษากลไกการทำงานของระบบซื้อขาย ให้มีความเป็นระเบียบเรียบร้อย (market surveillance) ระบบชำระราคาและส่งมอบสินทรัพย์ดิจิทัล ระบบการรับลูกค้า การพิสูจน์ยืนยันตัวของลูกค้า ระบบการรับลูกค้า