ภาคผนวก : แนวทางปฏิบัติในการเปิดเผยข้อมูลของกองทุนรวมเพื่อความยั่งยืน (Sustainable and Responsible Investing Fund)เอกสารแนบท้ายแนวปฏิบัติ (แนบท้ายประกาศ นป. 2/2565)
scope and description of delegated responsibilities of each position (job description). *** The number of experience years may be indicated in periods of time. **** For example, the Audit Firm has 3
....................................................................................................................................................... ....................................................................................................................................................... ....................................................................................................................................................... ( - Specify the key features of the securit...
the true owner of the trading account, and adding a new contact phone number to the client's personal profile even though there was no evidence that the client had ordered the responsible investment
was no evidence that the client had ordered the responsible investment consultant to do so. Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct
necessary for carrying out critical activities; “critical information systems” means information systems which support the operation of the critical activities, for example, trading systems, back-office
necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office
investment decision carefully. For example, Notice Pending (NP) in case of awaiting material information, or Caution (C) in case a listed company has the characteristics as prescribed in the governing
profession. The audit profession includes, for example: audit firms, professional bodies and bodies or entities associated with the audit profession. Indicators of independence from the profession include: - A