the date of its publication in the Government Gazette. Section 3 . In this Act: “fund”3 means a provident fund. “single fund” 3 means a fund established for employees of a single employer. “pooled fund

provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would

investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under warnings and recommendation

related to back office function. Such keeping shall be readily available at any time for derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to

readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with

ประเทศ -> หน่วยกองอสังหาฯ และตราสาร REITs single fund limit ≤ 10% ; total fund limit ≤ 20% (ข้อ 74 ประกาศ สน. 24/2552) single fund limit ≤ 15% (ข้อ 62(6) ประกาศ สน. 24/2552) single fund limit ≤ 15

and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a

references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and

is the contracting party to set up a mechanism for the management company or its delegate to examine or verify the correctness of the portion of income the fund received under the agreement and to

) having a recording system regarding trading information, especially information related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (e) having a work