company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
. The attendance list is shown on page 14. Policy and Implementation 1. Corporate Governance Policy Established upon the enactment of the SEC Act, the SEC has the duty to promote, develop and supervise
KBank. Monitor customers’ credit line utilization and customer status via early warning signs. Guidance has been provided for Relationship Managers (RMs) to contact customers at an early stage when
the Office of the Securities and Exchange Commission concerning Granting of Approval of Financial Advisor and Scope of Work, and monitor, supervise and give advice to 17 the applicant regarding
bank and responsible for regulating and licensing banks and other financial institutions. The Financial Institutions Business Act 2008 gives it broad authority to oversee bank corporate governance and
Under the SEA, the SEC has the duty to promote, develop and supervise the Thai capital market to ensure reliability, transparency and fairness for all parties concerned. In fulfilling this mission, the
information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel, who are responsible for