Reform Priorities in Asia: Taking Corporate Governance to a Higher Level Taking Corporate Governance to a Higher Level reform priorities in Asia 2011 REFORM PRIORITIES IN ASIA: TAKING CORPORATE
deep-out-of-money • Premium ratio (measured against KRX options) by LPs • Stricter assessment of LPs, including the level of implied volatility • Supervise the order routing speed 3rd measure (Mar 2012
role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the
to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which
allocation to ensure that the auditors have sufficient time to get involved in the key process regularly and supervise audit quality thoroughly. This will drive the audit quality towards a satisfactory level
business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no effect on businesses of securities
concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no
statistical information Our focus for 2014 2 4 8 15 19 33 37 40 47 49 Summary of inspection results A. Firm level B. Engagement level A. Firm level B. Engagement level 1 Thai capital market is one of the
accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of