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
trust’s features and management; (a) “[name of the trust] is a trust under the Trust for Transactions in Capital Market Act B.E. 2550 (2007) created by this instrument and shall become valid when the
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities
) certifying that if the auditor of such audit firm is granted an approval from the SEC Office, the audit firm shall monitor and improve the audit quality control system in compliance with the standards
that such approval shall be valid until 31 December 2013. Clause 3. Provision in Clause 2 shall not be applicable with personnel in the capital market that uses qualification of directorship or executive
, examination results of related rules and investment advisory suitability are also required (past results are valid within two years on the filing date). T raining Courses for Migration (for IC and IP
, examination results of related rules and investment advisory suitability are also required (past results are valid within two years on the filing date). T raining Courses for Migration (for IC and IP
such order, its declaration remains valid and IFEC directors must perform their duties in compliance with the DBD’s discretion. In this regard, all three directors, namely (1) Mr. Suphanan Rittiphairoj
clearly define the roles and responsibilities of management and monitor management’s proper performance of its duties. * The board should demonstrate a thorough understanding of the division of board and
(United States) meetings more easily and promote the exercise of voting rights to control , monitor and participate in the decision making on important matters. UPDATE: At present, the Emergency Decree on