supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
under its responsibility Ensure that units offered for sale exclusively for high net worth investors are not allocated to retail investors Oversee to ensure that the trust is not becoming a private trust
. A trustee's main duties are to: oversee that the trust instrument is established in conformity with relevant laws; appoint a trust manager; prepare a trust property account in segregation from a
an independent director) Trustee's duties A trustee shall have a trustee license and is independent from a trust manager. A trustee's main duties are to: oversee that the trust instrument is
receiving a payment for a securities trading for any person; 5. Placing money or other assets as collateral for securities trading of any person; 6. Allowing any person to receive benefits or oversee payment
conflict of interests, oversee dishonest acts or connected transactions of directors and executive, as well as to ensure that executive director has performed duty in accordance with the assigned authority
positions, and oversee the executives’ and the management’s performance to optimize corporate efficiency and investors’ returns. Meanwhile, the shareholders have the right to be well-informed, make decisions