interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
compliance such as training etc. [M] o Providing an oversee system the operation of officer under the policy strictly [M] (Translation) -3- o providing an inspection and assessment of the sufficiency of policy
of clients’ assets. In this regard, the securities company shall strictly oversee that the undertaking of custody of clients’ assets shall comply with such rules or practice guidelines. The rules or
of clients’ assets. In this regard, the securities company shall strictly oversee that the undertaking of custody of clients’ assets shall comply with such rules or practice guidelines. The rules or
duties and responsibilities to the Board of Director on the following matters: - Review the financial reports (quarterly financial report and annual audited financial report) to oversee that the reports
those risks mitigate them to a level so that the production unit is able to manage changing climatic conditions over its operational life. The measures that have been or will be taken do no harm to the
quarter last year. This is a consequence of altering the administration and management of projects to suit the work schedule. The changes are as follows: Cost of contract work amounts to Baht 210 million; a
, utilizing or altering such information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct
act which results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or
derivatives broker shall submit clients in accordance with the rules specified in the notification of the SEC Office. Clause 5. Derivatives broker shall not engage in any act which results in creating, altering