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
care, the following factors shall be taken into account: (1) position in the company held by such person at that time; (2) scope of responsibility in the position of such person in accordance with the
comply with applicable law and standards. Guidelines 6.1.1 The board should be aware of and understand the nature and scope of the company’s principal and substantial risks and should approve the risk
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor compensations for damages incurred to investors in all cases. Other regulated regulators in the
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
responsibilities that go beyond the scope of auditor's work, as the International Standards of Auditing (ISA 240 - The Auditor's Responsibilities Relating to Fraud in an Audit of Financial Statements) has covered