management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit and proper for the

coordinating with other units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence

management • In managing a mutual fund, the AMC must proceed with honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. • The AMC must have a policy

be guided by the following five fundamental ethical and professional principles: 1. Integrity 2. Objectivity 3. Professional Competence and Due Care 4. Confidentiality 5. Professional Behaviour Some

will have necessary competence and capabilities in significant areas. Moreover, the firms should notify those policies and procedures to the staff across the organization. 2. Policies and procedures for

Office to suspend functioning as lead appraiser or being under the period of time that the SEC Office could refuse to accept the application; (7) having passed the test of competence or taken professional

of the product to the worldwide level and increase competence and capability of the company continuously and sustainably. 2. Business Outlook on Q2/2018 Management’s Discussion and Analysis (MD&A) For

Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Issued: January 2019 Updated: September 2019 2 Contents 1. Introduction 3 2. Definition 4 3. Guidance on ACMF Pass Framework 3.1 ACMF Pass overview 5 3.2 Permitted activities 6 3.3 Application process 9 3.4 On-going obligation 9 3.5 Monitoring, supervisory and enforcement mechanism 11 3.6 National regulations regarding the approval proc...

auditor of the subsidiaries or the associates ("component auditor"), requiring the group engagement partner to ensure the competence and capabilities of those performing the group audit engagement