company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of
good governance in investment, standard of the supervision and inspection of management for the prosperity of funds, the roles of investment management companies in promoting and providing knowledge to
the investment management companies towards to promotion of knowledge to their members, and the development of the provident fund industry. The Investment Governance Code or I Code is also another
Ruenvadee Suwanmongkol said: “SEC has a mission to oversee and develop the Thai capital market. We have formulated a strategic plan for 2020 – 2022 with an aim to create a sustainable capital market in line
, employs a proper internal control system, and establishes an efficient and effective risk management system. To perform such roles, the audit committee, therefore, needs adequate knowledge and understanding
management • In managing a mutual fund, the AMC must proceed with honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. • The AMC must have a policy
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
สิ่งที่ส่งมาด้วย 3_ตัวอย่างแบบฟอร์มการประเมินความรู้ความสามารถในการลงทุน (knowledge assessment) สำหรับการลงทุนในผลิตภัณฑ์ในตลาดทุนที่มีความเสี่ยงสูงหรือมีความซับซ้อน
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Analyst on Technical Factors No. Work Experience/ Relevant Knowledge Qualifications Work Experience Related to
laws or as assigned by the board of directors and; (3) qualification, knowledge, capability, and experience including purposes of appointment. SECTION 89/10 In performing duty with loyalty, a director