the appraisal process? 11 How the firm’s training covers emerging issues such as new TFRSs, TASs, TSAs, Ethical Standards and other emerging issues and whether training promotes quality control ? How
comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
Advisory Agents dated 3 August 2009; (6) Clause 2 and Clause 3 of the Capital Market Supervisory Board No. TorThor. 71/2552 Re: Rules, Conditions, and Procedures for Operational Control of Securities
cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
structure 11. Corporate governance 12. Social responsibility 13. Internal control and risk management 14. Related party transactions 2.4 Financial position and operating results 15. Important financial