AIMC members join the group efforts to monitor and inspect listed companies that may fail to comply with the ESG criteria, guided by the AIMC ESG Policy and Collective Action and the Negative List, which
. Gatekeepers (1) Company Secretary The Company Secretary is appointed by the Board of Directors to provide advice and assistance to ensure compliance with the rules and regulations of the Securities and
. Gatekeepers (1) Company Secretary The Company Secretary is appointed by the Board of Directors to provide advice and assistance to ensure compliance with the rules and regulations of the Securities and
sometime, it shall control strictly namely determine the computer centre officer monitor the compliance all the time. [M] · Providing record system for entering the computer centre and such record shall
computer centre officer monitor the compliance all the time. [M] o Providing record system for entering the computer centre and such record shall compose of personal detail, time of entering and there should
define the roles and responsibilities of management and monitor management’s proper performance of its duties. Guidelines 1.4.1 The board should adopt a written policy (such as a charter) that clearly
, 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
regulations ë Monitor submission of reporting requirements and information disclosure to assure a sound financial condition and capital adequacy according to rules and regulations ë Conduct routine inspection
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
aforementioned. Clause 6. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7