director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level in matters stipulated in sub-paragraph (1) so
exemption from the requirement of independent director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
elements of the financial reporting ecosystem, from better education and training to more rigorous monitoring and enforcement. And it is only when the appropriate processes are in place and the people
funds’ assets, and for recording the asset inflow and the asset outflow of each mutual fund; (e) Systems for attending and monitoring the rights and benefits arising from mutual funds’ assets
funds’ assets, and for recording the asset inflow and the asset outflow of each mutual fund; (e) Systems for attending and monitoring the rights and benefits arising from mutual funds’ assets
intended purposes; 9.8 Monitoring and supervising benefit of REIT: specify monitoring and supervising system of REIT; 9.9 Remuneration of REIT manager: specify types and rate of remuneration given to REIT
public and stakeholders in supervising and developing a sustainable capital market. The SEC administers the Securities and Exchange Act B.E. 2535 (1992), the Derivatives Act B.E. 2546 (2003), Trust for
conflicts of interest and prioritise advancing the best interest of clients. Principle 3: Make informed investment decisions and engage in active ongoing monitoring of investee companies. Principle 4: Apply