risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness
beginning of 2020. Most respondents were in favor of the regulatory updates and suggested that other regulations could be used to oversee fund management and provide investor protection. The
standards of conduct, especially the executives who oversee compliance of business operators in accordance with the law, standards and ethics of business operation, to build investors’ confidence
” Uncertain and unclear regulatory and policy trajectory Lack of incentives Lack of reliable data Small market size Source: Blackrock Green repricing: It’s happening Relative return of green vs. brown sectors
the TSQC 1 requirements and our observations. However, we still identify the observations on monitoring process in some audit firms, as follows: • The monitor ing guidel ine in firm-level and engagement
reporting process, ensure the company has efficient internal control system, monitor the performance of the company to ensure compliance with the laws and regulations, review transaction that may have
strategy and financial planning, including major capital expenditures, acquisitions and divestments; b) monitor the effectiveness of the company’s governance practices, environmental practices, and social
HouseStyle (Unofficial Translation) Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) This English Translation has been prepared by Linklaters (Thailand) Ltd, in consultation with the Office of the Securities and Exchange Commission, for the convenience of those not familiar with the written Thai language. Every effort has been made to convey the meaning and effect of each provision of the original Thai language version as accurately as possible. Achievement of this objective is gene...