you have access to a company’s board or the CEO? It might be more effective, and use fewer resources, to start at the top. 9. Does the company have a respected internal advocate on the topic of concern
recommendations in the Principles will apply but others may be less relevant. We also acknowledge different investment strategies, for example as employed by passive or active funds, and advocate that shareholders
market expansion and liquidity. We have set out on a mission to establish the Thai capital market as the key economic driver whose function is to create balance and stability in the financial system, long
investments to establish a sustainable value chain and ecosystem. Additionally, we advocate for the use of new financial tools to mobilize private sector capital towards achieving the SDGs. This effort requires
(CMDF) as a center to promote market development: The development function shall be separated from the exchange function to increase efficiency of the SET operation.(6) Enhancing effectiveness
/> หากนายทะเบียนหลักทรัพย์ที่ได้รับใบอนุญาต ประสงค์จะ outsource งานบาง function โดยการดำเนินการของผู้รับ outsource ไม่เสมือนเป็นการให้บริการเป็นนายทะเบียนหลักทรัพย์เอง (เช่น เพียงจัดทำระบบ IT ให้นาย
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
business operator when outsourcing its business-related function to a third party which will apply to all types of digital business operators.* In addition, SEC has amended other parts of regulations which