group comprise independent audit regulators from four ASEAN jurisdictions, namely the Audit Oversight Board of Malaysia (AOB), the Accounting and Corporate Regulatory Authority of Singapore
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
organizational structure comprises three tiers of authority, namely: 1. The SEC Board responsible for policy-level regulations and oversight of market development; 2. The Capital Market Supervisory Board
important information and supporting evidence to SEC Complaint Center. This includes the followings; 1. Personal information of the complainant, e.g., full name, mailing address and phone number; 2. Power of
หน่วยงานกำกับดูแลตลาดทุนมาเลเซีย (Securities Commission Malaysia) และสิงคโปร์ (Monetary Authority of Singapore) ได้ลงนามในบันทึกความเข้าใจด้านการกำหนดแนวทางการยอมรับมาตรฐานหน่วยลงทุนซึ่งกันและกัน เพื่อ
for public offerings. Also a concern at the initial stage of development was the overlapped market supervision under the authority of multiple agencies as seen in the following areas: Securities
management of IT resources, including criteria to identify IT priorities, that takes into consideration the company’s business model. Principle 6 Strengthen Effective Risk Management and Internal Control
board of directors to be members of “audit committee." Audit committee is responsible for reviewing financial statements, internal control system, and ensuring that the company has disclosed information
directors and non-executive directors should support proper checks and balances to prevent unfettered power of decision and authority by any one individual, whereby: a) the majority of the board should be