affairs, strategies; and currently overseeing policy and supervision of intermediaries, asset management, provident fund and market infrastructure Bank of Thailand, Analyst, Bank Supervision Department
Fund Manager Regulatory Summary Related Rules and Regulations SHARE : For More Information ContactUs Investment Management Supervision Department Tel. +66-2263-6076 Intermediaries Supervision
as follows; (1) Fast Track: auditors who a) are under supervision by an audit oversight authority that has same auditor oversight standard as that of the SEC, and b) have experience in auditing and
investment portfolio 3) implementing the portfolio according to the asset allocation plan 4) monitoring and rebalancing the portfolio 5) providing consolidated
) 5th Annual Meeting was held in Kuala Lumpur from June 15-16, 2015. Hosted by Audit Oversight Board (AOB), Securities Commission Malaysia, the meeting was attended by over 80 regulators and audit firm
SEC received Broadly Implemented for Principle relating to auditor's oversight. (2) Principles with significant improvements: 11 Principles - staff professionalism and independence - cooperation with
institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that
Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of the Operation of Securities Underwriting dated 25 October 2006; (4) Clause 2(1