of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
disclosed. 3. monitor their investee companies. 4. establish clear guidelines on when and how they will escalate their stewardship activities. 5. be willing to act collectively with other investors where
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
legally accountable and liable to regulator and investors whereby the scope of work shall be within the ability of the management company to monitor its compliance with the law and related rules and
Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
, their severity and any delays in resolving them would reflect poorly on the ability of the audit firm leaders to discharge their responsibilities successfully, resulting in the SEC lowering the score of
a Private Visit to facilitate those who need to visit the project. In this regard, the Company will closely monitor the situation of COVID-19 and continuously adjust the operation pattern to keep up
their ability to https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional%20Investor%20Responsib...