security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system
structure, operating system, and a sufficient number of personnel in accordance with the notification of the SEC. DAB Act S.30 Settlement Committee Meeting No. 4/2023 Settlement Committee Order No. 1/2023
guideline for the operating system of management company shall comprise of 4 chapters as follow: Chapter 1 Organisational structure of the company 1.1 Segregation of work units and responsibilities 1.2 Roles
operating system of management company shall comprise of 4 chapters as follow: Chapter 1 Organisational structure of the company 1.1 Segregation of work units and responsibilities 1.2 Roles and
> Our Structure > Capital Market Supervisory Board Our Structure SHARE : Detail Content Capital Market Supervisory Board The Capital Market Supervisory Board
> Our Structure > Capital Market Supervisory Board Our Structure SHARE : Detail Content Capital Market Supervisory Board The Capital Market Supervisory Board
accordance with the 2 following principles: (1) good governance and clear, transparent organizational structure; (2) effective risk management for legal, credit, liquidity, operation, and other risks, with
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
clearly define the roles and responsibilities of management and monitor management’s proper performance of its duties. * The board should demonstrate a thorough understanding of the division of board and