appropriate capacity and experience to oversee effectively and manage all relevant activities in the interests of beneficiaries or clients. 1.4 Conflicts of interest, codes of ethics, compliance Institutional
first assessment, all listed companies are expected to achieve Level 1, signifying intent to comply with laws and regulations with ability to communicate with all stakeholders.Vorapol Socatiyanurak, SEC
verify the appropriateness and evaluate both the ethical risks and the ability to perform work of the staff. Nonetheless, the SEC encourages the firm to set out the policies that limit its staffs’ capacity
compliance with applicable law and standards. Principle 6.5 The board should establish a mechanism for handling complaints and whistleblowing. Guidelines 6.5.1 The board should oversee that an effective
appropriate experience and ability, and necessary authority, to assume that responsibility. If yes, is their appropriate experience and ability sufficient to identify and understand quality control issues and
knowledge and relevant experience as a means to further gauge investors’ ability to take risks. The new rule will also allow investors to access a more diverse range of products and businesses to gain more
-functioned accounting department, equipped with competent staff, as well as a seasoned and independent audit committee to oversee the process. As the function that originates all types of the financial
scheduled and conducted properly, with transparency and efficiency, and ensure inclusive and equitable treatment of all shareholders and their ability to exercise their rights. Principle 8.3 The
and ability in competitiveness of Thai capital market. _____________________________
known as robo-advisor, service to be offered to investors next year. Robo-advisor has gained popularities in many foreign capital markets as it offers investors ability to obtain lower cost investment