IPO companies. A Financial Advisor also has to monitor its clients’ implementation of such CG policy and assess the appropriateness of such policy. A Financial Advisor should give advice to its
securities issuing companies disclose information, including financial statements, management structure, and risk management measures to enable investors, the media, and the SEC to monitor their operation
deposits within Thailand or abroad which may be non-investment grade or unrated. We are elevating THE WISDOM brand along with maintaining our leadership status. Our customers were delivered exclusive
ขึน้ทัง้กบัลกูค้าและธนาคาร บุคคลพเิศษ ธนาคารน าจุดแข็งด้านเครือข่ายต่างประเทศมาใช้ในการขยายฐานลกูค้าบุคคลพิเศษภายใต้แบรนด์ THE WISDOM เพื่อให้บริการแก่กลุม่ลกูค้าที่มีถ่ินที่อยู่ในประเทศ AEC+3 และท า
asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from
details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from client’s assets; □ (3.6) System to
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange
any disgraceful record, and must comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange
information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD process, securities company shall monitor