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reporting process, ensure the company has efficient internal control system, monitor the performance of the company to ensure compliance with the laws and regulations, review transaction that may have
monitor the effectiveness of the company’s risk management. 6.1.7 The board has to ensure and monitor that the company complies with relevant and applicable law and standards, whether domestic
> Fund Manager Regulations SHARE : Detail Content Fund Manager/Investment Analyst The approval process for fund managers and investment analysts are prescribed in the Capital Market Supervisory
interpretation of the “Executive” in relation to “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager” Regarding the Notification of the
Persons > Fund Manager > Regulatory Summary Regulations SHARE : Detail Content Fund Manager / Investment Analyst Appplication Process Regulatory Summary Related Rules and Regulations SHARE
or Finance Department whose rank is not lower than departmental manager” Regarding the Notification of the Securities and Exchange Commission No. Kor Jor. 17/2557 Re: Determination of Definitions in
clearly define the roles and responsibilities of management and monitor management’s proper performance of its duties. * The board should demonstrate a thorough understanding of the division of board and
Regulations SHARE : Detail Content Personnels Investment Consultant Fund Manager /Investment Analyst Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Business
Regulations SHARE : Detail Content Personnels Investment Consultant Fund Manager /Investment Analyst Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Business