Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
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
can monitor the guidelines for exercising the voting rights and the exercising of such rights by the management company; 6 (d) Does the mutual fund provide channels and procedures for the investors
majority of our audit firms implemented monitoring tools such as a database tracking staff’s training hours, which could be used by the staff themselves to self-monitor as well as by the firms to monitor
performance of the SPT Benchmark means a reference that can be used to measure or compare performance ESG means environmental, social and governance, or some combination thereof 7ASEAN SUSTAINABILITY-LINKED
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising
clients which open an account or make transactions with the intermediary for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the
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