limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine the unitholding proportion of any person or Associated Person
limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine the unitholding proportion of any person or Associated Person
measure is considered by a sub-committee whose most members are representatives from the private sector. These steps ensure that the measure to be taken is appropriate, practical and respectful to
measure is considered by a sub-committee whose most members are representatives from the private sector. These steps ensure that the measure to be taken is appropriate, practical and respectful to
. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board
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
law and standards. Principle 6.2 The board shall establish an audit committee that can act effectively and independently. Principle 6.3 The board should manage and monitor conflicts of interest that
The board should monitor the company’s financial liquidity and solvency. Principle 7.3 The board should ensure that risks to the financial position of the company or financial difficulties are
interests from investors and parties wishing to raise fund at an international level. Participating in assessment programs organized by international agencies provides opportunities to measure our practice
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for