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1775 Eye Street, NW, Suite 900 Washington, DC 20006 +1.202.367.3015 www.cartica.com November 7th, 2017 Signatory Declaration to the Investment Governance Code (I CODE) Cartica Management, LLC
development SEC Roles Related organizations Related persons Sustainable development roadmap Rules/Regulations SEC Securities and Exchange Act B.E. 2535 (1992) Related notifications I Code Investment Governance
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mutual fund supervision. 5 In https://www.sec.or.th/EN/Documents/AnnualReport/pb_ar_2007.pdf Reform Priorities in Asia: Taking Corporate Governance to a Higher Level (including their controlling
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the Observance of Standards and Codes: Corporate Governance Country Assessment (CG-ROSC) by World Bank SHARE : Detail Content The Report on the Observance of Standards and Codes: Corporate
clarity, a checklist of recommended or necessary pre- and post-issuance disclosures is provided in Appendix II of the SLBP. To ensure a smooth governance process, some issuers may find it convenient to make
-making.Meanwhile, certain rules governing advertisement and sale promotion of mutual funds are also being revised to enhance clarity and flexibility.The SEC supports intermediaries in their offering of diverse