ประเทศ เฉพาะที่เป็น feeder fund และ fund of fundsและนโยบายในการป้องกันผู้ลงทุนซื้อขายหน่วยลงทุนถี่เกินไป (Excessive Trading Policy) ตามที่สมาคมบริษัทจัดการลงทุน (“สมาคม&rdquo
(Excessive Trading Policy)
supervision and risk assessment of intermediaries and the monitoring of industry development, to prevent excessive burdens on securities and derivatives intermediaries.The proposed revision covers the reporting
independence of the firm. - Precisely define the ‘related entities’ to enable the audit firms to completely disclose and consider the independence regarding related entities. The process to evaluate the
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
before. The Company had reviewed the situation and consequently adjusted premium rates or stopped selling insurance policies with excessive risks. Moreover we intend to increase the volume of insurance
Bangkok, November 5, 2015 ?The SEC is seeking public comments on a proposed amendment to the rules on material transactions and related party transactions to prevent excessive obligations on listed
, default of debt repayment at an amount exceeding 5 percent of the total assets, and changes to the major shareholders’ structure. To ensure that the proposed rules would not impose an excessive burden to