affect reward / remuneration? Also, how does the strategic clients affect Acceptance and Continuance Process? 6 How does the firm monitor and support staff in dealing with the pressures to meet deadlines
on prevention of conflicts of interest (“COI”) in managing a mutual fund as well as to monitor and oversee acts that may cause COI, unfair characteristic or cause unitholders to lose the interest that
IPO companies. A Financial Advisor also has to monitor its clients’ implementation of such CG policy and assess the appropriateness of such policy. A Financial Advisor should give advice to its
securities issuing companies disclose information, including financial statements, management structure, and risk management measures to enable investors, the media, and the SEC to monitor their operation
จดัตัง้ ตามระเบียบของ Undertaking for Collective Investment in Transferable Securities (UCITS) ซึง่อยู่ภายใต้การกํากบั ดแูลของ Commission de Surveillance du Secteur Financier (CSSF) ท่ีเป็นสมาชิกสามญัของ
the Put Redemption Amount together with accrued interest thereon. Application has been made to the Luxembourg Commission de Surveillance du Secteur Financier (the "CSSF"), as competent authority under
supervision and surveillance. In addition, all activities are subject to checks and balances as well as examination in a timely and appropriate manner. Another major mission that has become a national agenda
asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from
details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from client’s assets; □ (3.6) System to
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange