procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or transactions; (b
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
rating process. IOSCO members recognize that credit ratings, despite their numerous other uses, exist primarily to help investors and other users of credit ratings assess credit risks. Maintaining the
self-assess their own progress and make necessary improvement. In addition, five major institutional investors – the Government Pension Fund, the Social Security Office, the Association of Investment
self-assess their own progress and make necessary improvement. In addition, five major institutional investors – the Government Pension Fund, the Social Security Office, the Association of Investment
self-assess their own progress and make necessary improvement. In addition, five major institutional investors – the Government Pension Fund, the Social Security Office, the Association of Investment
self-assess their own progress and make necessary improvement. In addition, five major institutional investors – the Government Pension Fund, the Social Security Office, the Association of Investment
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
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