Unit would be required to closely monitor advertisements and report to the Board of Directors every month and submit such monthly reports to the SEC on a quarterly basis. The consultation paper is
website so that investors will be able to access information and monitor the operation of the business operators before making a decision to use their services. _________________
website so that investors will be able to access information and monitor the operation of the business operators before making a decision to use their services
technologies may expose KBank to unknown risk, especially in overall service provision. Such risk may be incurred by related parties’ lack of awareness with regard to emerging technology among service providers
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
awareness of their financial reporting roles and responsibilities to providing them with necessary supports, we expect the quality of financial information to improve by a noticeable margin. 03 Quality
through effective capital management and creation of a culture of risk awareness organization-wide, to enable us to cope with possible economic fluctuations in a timely manner. B Being aligned with our
raised awareness among the stakeholders, focusing on auditors, accountants, and audit committees, of the importance of high quality financial reporting through initiations of and participations in various
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