Mr. Sawin Chindakul Mr. Sawin Chindakul, managing director responsible for the operation of Energy Earth Public Company Limited (“EARTH”) failed to supervise EARTH to prepare and submit (1) the
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this
a mutual fund and shall monitor and oversee acts that may cause a conflict of interest to the unitholders and any acts that may have an unfair characteristic toward the unitholders or may cause the
Securities and Exchange Act B.E. 2535, with a mission to develop and supervise the Thai Capital Market to ensure efficiency, fairness, transparency, and integrity. In order to maintain fairness in the Capital
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
of significant transactions that are outside the normal course of business for the entity, were not performed to ensure that they were responsive to the risks of management overriding controls. Audits
Checklist คุณสมบัติตามเกณฑ์ SPO normal track บริษัทไทย
) who is a juristic person, derivatives clearing houses shall also supervise and monitor potential risks of these members. Clause 25 In cases where a derivatives clearing house provides tiered
shall monitor and supervise its personnel, who are responsible for providing investment analysis, consultation or planning to clients, to perform their duties within the specified scope as approved by the