written investment governance policy, (4) making informed investment decisions and monitoring investee companies regularly, (5) escalating monitoring of and engagement with the investee companies in case of
Exchange Commission No. SorThor. 49/2549 Re: Rules on Exemption from Appointment of Independent Director of Securities Companies -------------------------------- By virtue of (1) The second paragraph of
exemption from the requirement of independent director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level
lower amount of such information disclosed in the first filing with the SEC. This could be considered that one of the two directors had lacked qualifications for being independent director. 2. Monitoring
Bangkok, July 8, 2016 ? The SEC Independent Audit Inspection Activities Reports for the second-cycle period during 2013-2015 have shown significant progress in the quality control system of audit
operation for deficiencies in providing financial advisory services to the initial public offering (IPO) of a company, and deficiencies in performing duties as independent financial advisor (IFA) of another
on corporate governance principles. This includes management of investment money, performance monitoring of target listed companies, preparation and disclosure of responsible investment policy, strict
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary
whether the code of conduct is complied: 1.3.1 Monitoring and assessment by an internal audit unit or a compliance unit; 1.3.2 Self -assessment by executives and employees; 1.3.3 Assessment by independent