– February 2021 3-3 What governance process should be established by the issuer to monitor the achievement of SPTs? The issuer should not only select the relevant KPIs and related SPTs as per sections 1 and 2

. Clause 21. A securities company shall clearly determine the method and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended

are informed about the climate- related issues and how they monitor the targets and performance • Delegation of the responsibility to a particular executive or different executives? • Whether asset

guidelines for investors to understand and monitor future business directions of the Company; 1.1.2 Material changes and developments Give a brief account on the material changes and developments regarding the

and the determination to drive the business towards sustainability, as deemed appropriate by the Company, to be used as guidelines for investors to understand and monitor future business directions of

conditions. Specifically, CSR of firms with high customer awareness, as proxied by advertising expenses, is positively related to firm value. 6 However, the relation is either negative or insignificant for

- financial factors on its prospects; • management’s understanding of this interdependence; • its ability to harness this for value creation; and • awareness of the risks and opportunities that flow from non

) ...................................................................................... 11 2.2.4 การติดตามและประเมินผู้ให้บริการ (Monitor).................................................................................. 15 2.2.5 การยกเลิกหรือสิ้นสุดการใช้บริการ (Exit

shall monitor and supervise its personnel, who are responsible for providing investment analysis, consultation or planning to clients, to perform their duties within the specified scope as approved by the

and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel