describe (e.g., significant matters that need to be reported to the global network, significant policies that require approval from firm's leader). _x000D_&1#&"Tahoma"&12&KC0C0C0 SEC Classification : ใช้
factor behinds gaining profit is Matichon and its affiliated companies tried to find an opportunity to do business, especially becoming a leader in the digital media as well as the most popular news
Does the firm have documented responses e.g., policies and procedures appropriate to the size and nature of the firm? B9 Does the firm’s leader communicate its policies for quality to its personnel? If
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
Controller, Bristol-Myers (Thailand) Company Limited • Manager, Coopers & Lybrand Associates Company Limited • Internal Audit Manager, Johnson & Johnson (Thailand) Limited • Audit Supervisor, Coopers (Thailand
4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an approval by the SEC.in which must not has significant impact to the mutual fund
Mutual Fund 20. Relaxation of rules A mutual fund management company may request the SEC's for relaxation of the following rules: (1) Changing of a mutual fund supervisor, in the case that the mutual fund
4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an approval by the SEC.in which must not has significant impact to the mutual fund
Mutual Fund 20. Relaxation of rules A mutual fund management company may request the SEC's for relaxation of the following rules: (1) Changing of a mutual fund supervisor, in the case that the mutual fund
regulated person who is disqualified or fails to comply with professional conducts and standards. Such regulated person are as follows: - Financial Advisor and its supervisor - Auditor - Valuation Company and