the operators. The report shall, however, contain information as specified by SEC. The required information will enable SEC to efficiently monitor the operator’s progress in resolving the complaints
Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand JANUARY 2013 Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand January 2013 Acknowledgements This assessment of corporate governance in Thailand has been prepared by David Robinett, Ratchada Anantavrasilpa, and Catherine Hickey of the World Bank Global Capital Markets Practice, as part of the Reports on Observance of Standards and Codes Pro...
asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from
details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from client’s assets; □ (3.6) System to
information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD process, securities company shall monitor
process, securities company shall monitor public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following
monitor the effectiveness. However, there is still room for improvement for Thai listed companies. For instance, there should be a system to review and monitor how the corporate strategies are implemented
companies, both financial and non- financial. To the extent they are deemed applicable, they might also be a useful tool to improve corporate governance in companies whose shares are not publicly traded
monitor regulatory criteria regarding the implementation of IFRS 9 Financial Instruments. The Project, as an operating team, provided opinions to ensure that the new regulation is appropriate for business