market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
monitor the effectiveness. However, there is still room for improvement for Thai listed companies. For instance, there should be a system to review and monitor how the corporate strategies are implemented
, company’s compliance unit must monitor and examine all advertisements and prepare monthly report on advertising oversight for board of directors’ approval. The monthly reports are then compiled and submitted
different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor
relevant to Asia as Asian capital markets continue to deepen and become more complex. As the Principles are outcome-based, they are adaptable to a number of country circumstances. Important progress has
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
Method Statement Q3 30/09/2021 UNION TEXTILE INDUSTRIES PUBLIC COMPANY LIMITED 2021 Reviewed Company Q2 30/06/2021 Click here to display all results Management's Discussion and Analysis ( 12 record(s