necessary for fulfilling the duties of the mutual fund supervisor.
· 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
crucial for the auditors to suitably develop an expectation of the recorded amounts, sufficiently evaluate the reliability of data from which the expectation is developed, and determine an acceptable
. Furthermore, it seeks to enhance the efficiency of bondholders’ representatives in fulfilling their duties and bolster the credibility and protection of debt securities investors. The SEC and ThaiBMA are
in fulfilling their responsibilities. Thus, the right culture, suitable compensation schemes, and career planning for their employees needs to be carefully considered and implemented to be able to earn
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
benefit of all investors. In this way, investment institutions will be fulfilling their core role as a fiduciary, mandated to invest in the interests of their ultimate clients or beneficiaries. They are
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
relevant stakeholders and is responsible for protecting and generating sustainable value over the long term. In fulfilling their role effectively, board members should: a) guide, review and approve corporate