and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units 3.2 Investment
high exposure to the capital market Low to moderate exposure to the capital market Low exposure to the capital market Figure 3: Frequencies of inspection on audit firms’ quality control systems as
of audit firms has been an ongoing challenge, as a result of high turnover rates, coupling with low interests in this profession. With this concern in mind, the SEC and the Association of Chartered
Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor
/9692p.xlsx QAQR-02.xlsx that the firm considers as high risk? Please describe the relevant responses to these risks B1 Who is the ultimate shareholder(s) that have ultimate control of the audit firm, and;? B2
from insufficient involvement of engagement partners and engagement quality control reviewers (EQCRs) and incomplete audit manuals as required by quality control standard. Findings by respective average
PRI signatories in 2021 New high record of USD 121 trillion collective AUM The rise of sustainable investing & the growing shift to intangible. Thailand perspective: Source: PRI report, Morning Star
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring
Those who have plenty of free time value freedom High correlation between perceived freedom and internal locus of control Internals perceive risks and uncertainties optimistically Financial Literacy and