of the auditor’s work (paragraph........); ( 4.4.3 limitations imposed by management (paragraph........). · 5. Have emphasis of matter paragraphs resulting from (can choose more than one): ( 5.1 An
, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who
. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10
management company’s staff; (2) Supervision and inspection management company’s staffs comply with standard under (1) and; (3) Prescription of disciplinary to punish staffs who violate or fail to perform to
used in business operation 6. Future projects 7. Legal disputes 8. Other important information 2.3 Management and corporate governance 9. Information on securities and shareholders 10. Management
otherwise, and shall include a person having entered into an agreement for full or partial power of management. Clause 2 The operation under a regulatory sandbox of a person who is approved by the SEC Office
following matters: (1) the selection and supervision of the personnel involved in the operation of the fund to ensure that they have suitable knowledge and capability for the administration and management of
remunerations of directors and executives,9 the independence of the Board of Directors from the Management, the director development and assessment of duty performance of directors including supervision of
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________