place before the license holder is allowed to commence business operation which will be supervised on a continuing basis. This is to ensure that business operators are able to comply with relevant

standards should be overseen by bodies independent of the pro- fession. Recommendations:  Asian Roundtable economies should work towards convergence with high quality internationally recognised standards and

to clients shall be supervised in accordance with the work system laid out by the intermediary . Clause 26 For the communication with or providing services to a new client , an intermediary shall

provision of services to clients shall be supervised in accordance with the work system laid out by the intermediary. Clause 26 For the communication with or providing services to a new client, an

provision of services to clients shall be supervised in accordance with the work system laid out by the intermediary. Clause 26 For the communication with or providing services to a new client, an

delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business in the category of

operation; (7) Every delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business

i SUSTAINABLE FINANCE INITIATIVES FOR THAILAND In collaboration with Sustainable Finance Initiatives for Thailand P a g e | 2 Contents 1. Foreword ................................................................................................................................................ 3 2. Executive Summary .............................................................................................................................. 5 3. Background and Motivations for Developing the Initiat...

while prices of gold and silver also tumbled.?Today, Thai stock indices and prices of gold and silver drastically dropped amid global markets? volatility. The SEC has closely monitored the situation and

operating result – Relative to last year quarter’s, Loss Ratio had dropped by 8.64% (From 67.87% to 59.23%). Underwriting had been more selective. Sales associated with high risk clients had been monitored