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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
– that our business operations take human rights into consideration. We also monitor suppliers’ business undertakings to ensure strict compliance with the Supplier Code of Conduct, explicitly showing that
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, credit disbursement, credit-related document storage and credit data support. We monitor customer credit-utilization behavior, their business performance, compliance with contractual conditions as well as
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
. Annually screen and monitor all companies in the portfolio for deforestation and conversion performance to ensure that all relevant companies are not breaching deforestation-specific internal policies
aforementioned. Clause 6. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7