emphasized active engagement of all sectors to make sure that the capital market will continue to serve the country’s important demands. This is the first time that an SEC strategic plan has given a
sustainability building goals to make sure that Thai ESG Funds will be another efficient channel for long-term savings and investment for the public. We should also underline the important point that this initial
other hand, the company have setting up new companies for research & development of Electric Vehicle in USA and Industrial Electric Vehicle in Europe in order to make sure that the company can maintain a
ascertain the client’s financial status, repayment ability, investment objectives, level of knowledge, understanding, and experience in derivatives trading for the purpose of consideration of an application
support of the consideration of the application for opening an account in order to ascertain the client’s financial status, repayment ability, investment objectives, level of knowledge, understanding, and
support of the consideration of the application for opening an account in order to ascertain the client’s financial status, repayment ability, investment objectives, level of knowledge, understanding, and
the company. Monitoring Activities 16. The organization monitors and evaluates to ascertain whether the components of internal control are completely present and suitably functioning. Questions Yes No
ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the following questions: - Who does this? - How often is it done? - Have there been any such situations during
,” describe how the firm monitors its independence 18 Does the firm review unpaid fees from clients to ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the
case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives, knowledge, understanding and experience regarding