claim under the contract from the service provider; (3) examining the accuracy of the contract in accordance with (2) and keep a copy of the complete and undated contract in such a way that is ready for
of the assets of the fund. Chapter 4 Competent Official _______________________ Section 30. For the purpose of examining the management of the fund, the registrar and the competent official shall have
Official _______________________ Section 30. For the purpose of examining the management of the fund, the registrar and the competent official shall have the following powers: (1) to enter the fund’s office
from specific industries In audits of leasing businesses, the auditor occasionally performed tests of controls on credit approvals to end customers without examining appropriate supporting documents such
Office to be the secretary of the Audit Committee. SECTION 14/2 The Audit Committee shall have the following powers and duties: (1) re-examining and giving opinion to the SEC concerning the internal
to invest in such product, the intermediary shall provide an independent or senior employee working at the place of service to perform the following requirements: (a) examining the procedure for
, derivatives exchange, securities clearing houses, central securities depositories, the SEC Office, and the Bank of Thailand, for the purposes of supervising and examining the financial position and risks of
highlight several stylized facts that, we hope, would give investors a better understanding about them. In examining 294 funds that together represent more than 620 billion Baht of AUM, the majority of which