duties and responsibilities to the Board of Director on the following matters: - Review the financial reports (quarterly financial report and annual audited financial report) to oversee that the reports
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
oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations
audit committee should consider the independence of auditors. In certain cases where auditors are well familiar with their audit clients, there may be an issue of duty negligence and failure to report
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
satisfaction of the SEC by such time. (2) A Hong Kong domiciled feeder fund investing in a Thai MRF- eligible master fund: - The Thai AMC who manages the Thai domiciled fund shall request the SEC to issue a
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
of clients’ assets. In this regard, the securities company shall strictly oversee that the undertaking of custody of clients’ assets shall comply with such rules or practice guidelines. The rules or