ผลการดำเนินงานของกองทุนและ การปฏิบัติหน้าที่ของผู้ที่เกี่ยวข้องกับกองทุน (duty to monitor) ว่าได้ปฏิบัติหน้าที่เป็นไปตามที่ตกลงกันไว้หรือไม่ บทบาทที่กล่าวข้างต้นเป็นเรื่องที่คณะกรรมการกองทุนจำเป็นที่จะ
regard, the SEC Office may grant a waiver if it is necessary and appropriate: (1) a person having duty according to this Notification would be able to submit the information or the documentation prepared
governance frame- work. For instance, in Asia the prevalence of controlling shareholders might require more focus on independence of the board to monitor the management and effective protection of minority
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
arrange a contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the notification of the SEC Office. A
are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker . Clause 8 The derivatives broker shall put in place an efficient risk system for the management