the Memorandum of Understanding between the Government of the Hong Kong Special Administrative Region of the People’s Republic of China (“Hong Kong”) and the Government of the Kingdom of Thailand
the Memorandum of Understanding between the Government of the Hong Kong Special Administrative Region of the People’s Republic of China (“Hong Kong”) and the Government of the Kingdom of Thailand
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
, 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
general application, irrespective of national legislative frameworks or listing rules. As global recommendations, they should be read with an understanding that local rules and cultural norms may lead to
on prevention of conflicts of interest (“COI”) in managing a mutual fund as well as to monitor and oversee acts that may cause COI, unfair characteristic or cause unitholders to lose the interest that
appropriate capacity and experience to oversee effectively and manage all relevant activities in the interests of beneficiaries or clients. 1.4 Conflicts of interest, codes of ethics, compliance Institutional
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
investment analyst by a regulator in an ASEAN country which is accepted by the SEC Office.1 1 an ASEAN country which is accepted by the SEC Office means a signatory to the Memorandum of Understanding on the
involved in preparing financial reports understand their roles and responsibilities relevant to the quality of the financial reports. Due to the in-depth understanding of both the nature of their business