that the organization structure of is designed or efficient measures installed to prevent conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the
Bt56.57mn, a decrease of 3.6% YoY, due to promotion for expanding kiosks and more effective control of managing expenses. Profit 1) Gross profit in 2018 was Bt707.83mn, a decrease of 3.2% compared to the
. (4) establishing an efficient system for recording, collecting and processing data and a data backup system as an alternative in cases where retrieval for use of such data cannot be done; (5
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
. Consequently, banks need to possess effective control systems to maintain the ability to value collaterals constantly and at the present value. Example 2 : Workpapers did not document audit scope or sample
, however, can arise where a single family or group enjoys effective control of an enterprise or where the state owns a significant stake in the company. In such cases, which occur frequently in Asia
instruments for efficient portfolio management and hedging purposes. The Fund may, at its discretion, pay dividends out of capital or gross income while charging all or part of its fees and expenses to its
: ✓ is licensed or otherwise authorised to conduct the relevant financial advisory services in a participating ASEAN country, and is subject to supervision by the regulatory authority in that country
reporting process, ensure the company has efficient internal control system, monitor the performance of the company to ensure compliance with the laws and regulations, review transaction that may have
their borders, and fund managers can offer their products cross-border under an efficient approval system. The addition of the Philippines to the three existing jurisdictions under the Framework