operate and be managed in accordance with the relevant laws and regulations in Hong Kong and its constitutive documents; (d) the sale and distribution of units/shares of the Hong Kong Covered Fund in

are being properly managed. As the level of public disclosure has increased in major markets, it is helpful if asset managers explain their thinking on public disclosure even when they have decided not

standards should be overseen by bodies independent of the pro- fession. Recommendations:  Asian Roundtable economies should work towards convergence with high quality internationally recognised standards and

supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision

acts as the oversight body, is overseen by an independent body. Such an auditor oversight body must operate in the public interest, and have an appropriate membership, an adequate charter of

DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22

as mentioned above. The details of the established subsidiary company are as follows: Subsidiary Company’s Name : Gofive Company Limited Type of Business : IT Consulting, software, and managed services

Annual Report 2001 A N N U A L R E P O R T 2 0 0 1 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A IL A N D SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2001 SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lump...

to shareholders, warrant holders and investors ● Supervised listed companies, securities companies and asset management companies including persons in direct contact with investors to ensure their

has placed an emphasis on comprehensive risk management such as credit risk, market risk, liquidity risk, operational risk, cyber risk and strategic risk which are also covered and properly managed