Index Reducing excess implied volatilities Towards healthier market, investor education & information dissemination are enhanced by SFC. The trading activities in the DW market grew significantly in
supervise and ensure fair treatment for retail and SME customers will pose a heightened challenge to banking performance. To cope with these issues, commercial banks may have to fine-tune their strategies
Trade Competition Commission – a separate independent body to supervise trade competition with greater flexibility. As a provider of financial services operating under the purview of this Act, KBank
supervise risks and uphold good corporate governance principles, among others. 4 2. Independent directors are required to hold the position for no more than nine consecutive years, and there must be at least
enhanced monitoring of and engagement with the investee companies if monitoring pursuant to Principle 3 is considered insufficient. Principle 5: Have a clear policy on exercising voting rights and disclosure
issues related to corporate strategies, environmental, social and governance (ESG) factors of investee companies. Principle 4: Oversee asset managers to apply enhanced monitoring of and engagement with an
investment decisions and engage in active ongoing monitoring of investee companies. 4. Apply enhanced monitoring of and engagement with the investee companies if monitoring pursuant to (3) is considered
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
ผูรั้บประโยชน์ท่ีแทจ้ริงของลูกคา้ ทั้งน้ี หากพบรายการท่ีอาจเขา้ข่ายผิดปกติ หรือมีเหตอุนัควรสงสัย ตอ้งท า enhanced KYC/CDD โดยไม่ชกัชา้ (2.2) ตอ้งจดัท า suitability test อยา่งครบถว้นและเพียงพอ เพื่อประเมิน
Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities