company and the unitholders; (7) the money borrowing or creation of encumbrances on a fund’s assets; (8) the liquidation of a fund. In the case where no specific notifications prescribe the rules related to
where no specific notifications prescribe the rules related to the matters of funds in Paragraph 1, the management company shall comply with other notifications prescribing such rules for general mutual
Subscription period: No. of units offered for sale: Par value per unit: Type of offering: PO PP (II)* PP (HNW)* PP (II&HNW) Total offering value: Underlying: Sale/transfer restriction (if any): Specific
lease contract or defective rights to claim for specific performance according to the lease contract. (2) the covenants in part of acquisition of an additional principal asset shall also contain the
, Managing Director of PTL and PAPL Director, acquired the information related to PTL’s operating results in the financial statements of specific businesses and the consolidated financial statements for the
procedures, review and then discuss with the firm I. General Policies and Procedures II. Specific Policies and Procedures B. Independence Issues Checklist: Discuss the following issues with the Ethics Partner
Ethics Partner, does the principal meet regularly to discuss ethics and document their discussions? 3 Does the firm have documented policies and procedures appropriate to the size and nature of the firm? 4
Administration Chiang Mai University Introduction According to Jensen and Meckling (1976)’s agency theory, an audit is an agent cost that helps reduce information asymmetry between an agent and a principal
effect from the behavior of prohibited characteristics such as impact to money market or capital market, the public in general or a specific group of people, etc.; (b) the significance of the behavior of