.: _________________________ Page 6 of 9 Form 35 – ARFP CIS Part E: Independent Oversight Entity of the Passport Fund (Trustee/ Fund Supervisor) Same as Custody No [if “No”, please provide further information below] 23) Name of
and methods specified in the Licensing Manual for the Public and notify the issues derived from the examination of such facts for the applicant to clarify within the period specified by the SEC Office
examination of the working paper and the audit quality control system and specify the list of working papers to be examined; - On-site inspection, notify and confirm the issues found verbally; - Consider the
[3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and
for a total period not less than three [3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
1 PAGE 2 ระบบการควบคุมภายในเพื่อป้องกันการนำทรัพย์สินของลูกค้าไปใช้โดยทุจริต หมวดที่ 1 ระบบการกำกับดูแลการเก็บรักษาทรัพย์สินของลูกค้า (management oversight) ผู้บริหารจะต้องรับผิดชอบต่อการจัดให้มี 1
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