(Independent Oversight Entity : IOE) 82,000 - 38 การจัดการความขัดแย้งทางผลประโยชน์ (conflict of interest : COI) ของท่ีปรึกษา ทางการเงิน (FA) ผู้จัดจ าหน่ายหลักทรัพย์ (UW) และผู้แทนผู้ถือหุ้นกู้ (BHR) 67,000 - 39
specified in the relevant Notifications of Capital Market Supervisory Board. Independent directors are an important part of the oversight to promote good corporate governance and protect company’s and
to mutual fund management, including the responsibilities of the aforementioned manager; (d) The names of the selling agents, investment unit registrar and mutual fund supervisor, as well as the
-year period before the filing date of the application for approval with the SEC Office, and having worked as an audit supervisor or the final audit reviewer before an auditor affixes signature in giving
to the mutual fund supervisor of Thai Covered Fund. 7 To the extent there are requirements on minimum notice period and content of or template for notice to Hong Kong investors under relevant Hong Kong
conduct. 2 The company should specify anti-corruption measures suitable to the risk profile of the company. 2. The board of directors demonstrates independence from the management and exercises oversight of
standard sustainable investment criteria, and subject to stricter oversight than other regular mutual funds. Once established, Thai ESG Funds must set an investment policy and investment strategies, product
regulator for Thai capital market, as evidenced by an endorsement from the European Commission (“EC”) given to the SEC in June 2013 to acknowledge the SEC’s audit oversight system as being equivalent to that
, and investment supervision and control system of the investment advisory company, persons with power of management and advisors; (2) providing a compliance supervisor of investment advisory company
supervisor to the investors and the general public by a method that sufficiently allows the investors and the general public to be continuously aware of information at every particular period as appropriate to