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
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
increasing 48.52 million or 26.06%, cause by the Company had administrative expense increase of Baht 11.40 million which is mostly caused by the company closely monitor collection and accelerated disposal of
policy and internal control . This is to https://www.sec.or.th/EN/Pages/AboutUs/SECBoard.aspx English (United States) meetings more easily and promote the exercise of voting rights to control , monitor and
in the first quarter of 2017, the Group compensated a voluntary resignation plan to the employee. In addition, the Group has a policy to maintain of expenses monitor. Impairment losses on assets
continue to monitor and update news and information of the invested shares through the Electronic Information System of the Stock Exchange, the issuer's annual report or newspapers. Shareholders should also
and manage investors’ investment portfolio? What are the roles of the “Finfluencer” in providing quick and easily accessible advice? How can regulators employ technologies to monitor and protect
, for example, has changed significantly recently. Since last December, SEC has informed SET to monitor the trading activities of such shares closely to protect investors and prevent distortion of the