countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good
contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as follows: (a) for the
company; (2) Exercise voting rights at the shareholders’ meeting concerning the matters which may materially affect the interest of the mutual fund; (3) Arrange to have an effective operating system for
] · Providing the trespass monitoring system and abnormally operating system via the network system whereas it shall monitor consistently the following matter at least [M] · Attempt to trespass via the network
disposition of assets of each private fund; (e) System for monitoring and tracking benefits arisen from private fund asset; (f) System to prevent conflict of interest and protect confidential information of
director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level in matters stipulated in sub-paragraph (1) so
time; (e) conduct monitoring of the system and report the findings to the board of directors of the company or the directors entrusted by the board in order to achieve the objective and mission. Clause 6
system for receiving and delivery the client ’s assets between the intermediary and such third party, and for monitoring the consequence thereof. In this regard, while awaited delivery of the asset or
by diversifying investment with the understanding of the return and risk of each asset/group of asset . In this regard, there should be a monitoring system to ensure the conformity with the investment
issuance of improper auditor’s reports, as well as countermeasures for mitigating such risks. 4.1 Inspection results on the quality control system by the Audit Firm (internal monitoring) (1) Name of