regulations ë Monitor submission of reporting requirements and information disclosure to assure a sound financial condition and capital adequacy according to rules and regulations ë Conduct routine inspection
Exchange Act B.E. 2535 (1992) with the duty to supervise and develop the Thai capital market to ensure efficiency, fairness, transparency and integrity. One of the SEC?s responsibilities is to monitor and
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
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
, company’s compliance unit must monitor and examine all advertisements and prepare monthly report on advertising oversight for board of directors’ approval. The monthly reports are then compiled and submitted
different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor
6661 Fax: +662 661 6664 1 2019 IVL Performance Summary IVL registered volume growth of 18% in 2019 driven mainly by inorganic expansion. Industry-wide spreads declined to historical lows in 2019, leading
mission is to inspire and promote effective standards of corporate governance to advance efficient markets and economies world-wide. Established in 1995 and present in over 50 countries, the ICGN membership
gaining wide acceptance and recognition at home and abroad, as reflected in the numerous awards we received in this quarter. C Contents Page Executive Summary A 1. Overview of Operating Environment 1 1.1