security system must be in place, which includes system readiness, service continuity, and monitoring of business partners regarding IT security and customer data privacy protection. KBank will be able to
) Approaches to Responsible Investment in Listed Equity 4 SEC Classification : ใชภ้ายใน (Internal) Screening: Filtering the Investable Universe There are three main types of screening… Exclusionary (negative
[such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries
Office retains your personal data for the following purposes: Approving the establishment and management of funds, and granting approval for the issue and offer for sale of securities under the supervision
as follows: licensing and supervision of the activities of intermediaries, including fund managers and distributors; authorising funds and their offering documents to be offered to the public in Hong
companies from the Bank of Thailand; 2. Letters seeking legal opinion and invitation letters for seminars; 3. Research, risk monitoring from Bloomberg. ✓ 1.2 Sources of personal data The SEC Office receives
.................................................... 19 Disclosure and Transparency ..................................... 23 Board Practices and Company Oversight ................. 27 Findings Of The DCA
collaboration of audit firm leaders, auditors and personnel. Nevertheless, some audit firms have yet to remove deficiencies in engagement performance and monitoring while they are revising their audit manual and
out guidelines and put in place a variety of tools such as risk monitoring and management as well as preventive measures such as investor education to help address these issues. There is also a forum
joint effort would help to increase enforcement efficiency and prevent the use of business operators under the SEC supervision as a channel for money laundering or facilitating terrorism. This by