, employs a proper internal control system, and establishes an efficient and effective risk management system. To perform such roles, the audit committee, therefore, needs adequate knowledge and understanding
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
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Analyst on Technical Factors No. Work Experience/ Relevant Knowledge Qualifications Work Experience Related to
practices, and adhere to applicable laws; c) embody high standards of business ethics and oversee the implementation of codes of conduct that engender a corporate culture of integrity; d) oversee the
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(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Consultant on Complex Products Type 1 No. Relevant Knowledge Qualifications List of Required Examinations1 (1
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Consultant on General Products No. Relevant Knowledge Qualifications List of Required Examinations1 (1) Fundamental
significance of these problems and plans to support audit firms in providing training for auditors to gain knowledge and keep abreast of changes on a continuing basis as well as assisting audit firms in