Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
clients which open an account or make transactions with the intermediary for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the
clients which open an account or make transactions with the intermediary for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the
majority of our audit firms implemented monitoring tools such as a database tracking staff’s training hours, which could be used by the staff themselves to self-monitor as well as by the firms to monitor
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
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
increasing 48.52 million or 26.06%, cause by the Company had administrative expense increase of Baht 11.40 million which is mostly caused by the company closely monitor collection and accelerated disposal of
in the first quarter of 2017, the Group compensated a voluntary resignation plan to the employee. In addition, the Group has a policy to maintain of expenses monitor. Impairment losses on assets
evidence during a planning phase and a substantive test phase, especially in the audit of revenue, risk assessment and response to the risk of fraud. In this regard, the SEC will support and closely monitor
potential performance and risks (e.g. hedge funds, hybrid securities, structured products, investment units of a mutual fund of which the returns calculation is made in a complicated way (complex return fund