>   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

listed companies while preparing and filing their annual registration statement. Enables businesses to integrate social and environmental impacts with financial reporting • Section 3: “Business

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

/files/medias/documents/icw- bnm-final.pdf Monetary Authority of Singapore has released a consultation paper on the proposed guidelines on environmental risk management for banks, asset managers and

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

violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction

materiality of ESG information Integrate into analysis and valuation Present in research report 9 ESG INFORMATION Sources • Company disclosures and publications • Meetings and correspondence with company

Officer to have an authority to consider, decide, amend or change rules, conditions and details which are necessary and relating to Acquisition and Acceptance of Transfer of the Entire Business as it deemed

authorized the executive committee or the Chief Executive Officer or the person entrusted by executive committee or the Chief Executive Officer to have an authority to consider, decide, amend or change rules