Solicitation or advice on securities or derivatives investment based on the value of the underlying asset such as gold price/crude oil price/agricultural products by an unlicensed company. ● Information of
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. Principle 5.2 The board should encourage management to adopt responsible operations, and incorporate them into the company’s operations plan. This is to ensure that every department and function in the
, as appropriate. Principle 7.5 The board should ensure the establishment of a dedicated Investor Relations function responsible for regular, effective and fair communication with shareholders and
. 51/2561 Re: Outsourcing Function related to Business Operation to Third Party The Notification of the Capital Market Supervisory Board No. TorThor. 1/2561 Re: Rules, Conditions, Procedures for
5.2 The board should encourage management to adopt responsible operations, and incorporate them into the company’s operations plan. This is to ensure that every department and function in the company
segregating the unit of trading function from the unit responsible for defining factors for product selection. 6. Implementing a renumeration structure that does not tie up solely to sales KPI, for the
segregating the unit of trading function from the unit responsible for defining factors for product selection. 6. Implementing a renumeration structure that does not tie up solely to sales KPI, for the
ประสานงานภายในมีประสิทธิภาพ นอกจากนี้ ยังลดลำดับการบังคับบัญชาเพื่อการตัดสินใจที่รวดเร็ว สำหรับการบริหารจัดการทีมงาน ใช้รูปแบบการประสานงานและทำงานร่วมกันในทุกส่วนงาน (cross function) และลักษณะการบริหาร
internal function and operation. Going forward - The SEC is under consideration to implement recommendations from FSAP review as well as to study the changes in the capital market landscape and how the role