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
interest 25 14.0 Remuneration 25 15.0 Monitoring 26 16.0 Engagement 27 17.0 Voting 28 Contents 8 Section A: Board 1.0 Responsibilities 1.1 Duties The board should act on an informed basis and in the best
suitable for attendees. Example 3 : A monitoring team did not monitor quality of workpapers in substance, but only checked for completeness in each workpapers in form. Example 4 : An audit firm had no
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
Prioritise Advancing the Best Interest of Clients 40 Principle 3 Make Informed Investment Decisions and Engage in Active Ongoing Monitoring of Investee Companies 42 Principle 4 Apply Enhanced Monitoring of and
for new employees; employees annually sign for acknowledgment of the rules and penalties; the code of conduct is publicized for employees and outsiders. 1.3 There are procedures to monitor and assess
from time to time, to allow the SEC Office to monitor compliance with this Notification, within a time period specified by the SEC Office, provided that the requirement does not cause unreasonable burden
to consider the necessity for activities involving large gathering of people, which may cause risks of person-to-person transmission. The Company has been closely monitoring the situation and is
transmission of the virus. The company has been closely monitoring the epidemic situation. The company is concerned that the General Meeting of Shareholders at this time, the company will not be able to
monitor the aggregate limit, since tokens can be transferred globally and directly among mailto:aunchisa@sec.or.th mailto:archari@sec.or.th aunchisa Underline aunchisa Line aunchisa Typewriter January 22