· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
asset management companies to authorize persons to mornitor and control mutual fund. The persons performing the duty must have the qualifications as follows(1) Be independent from the asset management
accounts, manage assets and audit. Persons charged with the duty to review and check must be independent from each other and do not have common interests. No one is authorized to approve transactions which
independence of the firm. - Precisely define the ‘related entities’ to enable the audit firms to completely disclose and consider the independence regarding related entities. The process to evaluate the
investment mandates. Asset owners should be better equipped to evaluate asset managers, and asset managers should be better informed, enabling them to tailor their services to meet asset owners’ requirements
6.0 Key concepts and definitions 20 7.0 Annexes 22 Contents 6 1.0 Principles for Internal Governance 1.1 Fiduciary duty The culture, activities and role of all institutional investors should focus on
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
Mr. Sanith Adhyanasakul Mr. Sanith Adhyanasakul, Chief Executive Officer of Property Perfect Public Company Limited (?PF?) ,who is responsible for the operation of PF, had duty to supervise the
Mr. Wutthiphum Jurangkool Mr. Wutthiphum Jurangkool, Chief Executive Officer of Nok Airlines Public Company Limited (?NOK?) ,who is responsible for the operation of NOK, had duty to supervise the