affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors in the audit firm who has
the firm has designated Ethics Partner who takes responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the
responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the adequacy of firm’s procedures? 2 For firms without designated
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
may not be suitable for you and it is recommended that you consult an independent investment advisor if you are in doubt about such investments or investment services. Nothing in this report constitutes
Malaysia, the Monetary Authority of Singapore and the Philippines Securities and Exchange Commission have signed a Memorandum of Understanding on the ACMF Pass under ASEAN Capital Market Professional
Authority ประเทศนิวซีแลนด์ และ Mr. Gerard Fitzpatrick, Senior Executive Leader จาก Australian Securities and Investments Commission (ASIC) ประเทศออสเตรเลีย
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) และ Mr. Ian Johnston, Chief Executive, Dubai Financial Services Authority (DFSA) เมืองดูไบ สหรัฐอาหรับเอ
transfer of fiat money from the accounts opened for the benefit of clients shall comply with the principles for decentralized approval authority, multi-sign approval authority, and check and balance, in the