credit rating information selection with responsibility and caution (fiduciary duties) and shall not make credit rating information selection which may cause assets of clients to be in a condition of low
credit rating information selection with responsibility and caution (fiduciary duties) and shall not make credit rating information selection which may cause assets of clients to be in a condition of low
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...
investment universe. These policies should be communicated to clients and beneficiaries in plain and understandable language. 2.2 Active monitoring Institutional investors should monitor closely the companies
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary, in order to monitor the compliance with this
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary, in order to monitor the compliance with this
and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel
the KPI against the SPT; and any other relevant information which may enable investors to monitor the progress of the selected KPI. Information may also include when feasible and possible: a qualitative
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
can monitor the guidelines for exercising the voting rights and the exercising of such rights by the management company; 6 (d) Does the mutual fund provide channels and procedures for the investors