ความเสี่ยง (risk treatment) (5) การจัดทำทะเบียนความเสี่ยง (risk register) (6) การติดตามและทบทวนความเสี่ยง (risk monitor and review) (7) การรายงานความเสี่ยง (risk reporting) N/A Yes/Partial/No N/A N/A N/A
strategy and financial planning, including major capital expenditures, acquisitions and divestments; b) monitor the effectiveness of the company’s governance practices, environmental practices, and social
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities
investment universe. These policies should be communicated to clients and beneficiaries in plain and understandable language. 2.2 Active monitoring Institutional investors should monitor closely the companies
has also signed a definitive asset purchase agreement to acquire the adjacent utility assets of Artelia Ambiente, S.A. Portugal which has a capacity of 40 MW of electricity plus steam, demineralized
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
1 แบบแสดงรายการขอ้มลูการเสนอขายหลักทรัพย ์ (แบบ 69-ASEAN) แบบแสดงรายการขอ้มลูการเสนอขายหลักทรัพย ์ กรณีบรษัิทไทยเสนอขายหลักทรัพยใ์นไทยและประเทศกลุม่อาเซยีนพรอ้มกนัหรอืในเวลาใกลเ้คยีงกนั Registration Statement for Thai-incorporated Company to offer for sale of securities in Thailand and ASEAN member country simultaneously or in proximate period (ชือ่บรษัิททีเ่สนอขายหลักทรัพย)์ (Commercial Name of the Issuer) - ใหร้ะบลุกัษณะทีส่ าคญัของหลักทรัพยท์ีเ่สนอขาย เชน่ ประเภทหลกัทรัพย ์จ านวน ราคาเสนอขายต...
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
intermediary , in order to monitor the compliance with this Notification by the intermediary . In this regard, the SEC Office shall determine such period according to the following scopes: (a) in case of urgent