criteria ▪ Step 3: Introduce oversight ▪ Step 4: Adapt investment process ▪ ABSOLUTE EXCLUSION No investment in exclusionary criteria ▪ THRESHOLD EXCLUSION Partial investment ▪ RELATIVE EXCLUSION Best-in
regulators in terms that the SEC is independent from audit profession and the audit oversight system in Thailand is in line with international standards. Therefore, this will help enhancing investors
(Independent Oversight Entity : IOE) 82,000 - 38 การจัดการความขัดแย้งทางผลประโยชน์ (conflict of interest : COI) ของท่ีปรึกษา ทางการเงิน (FA) ผู้จัดจ าหน่ายหลักทรัพย์ (UW) และผู้แทนผู้ถือหุ้นกู้ (BHR) 67,000 - 39
specified in the relevant Notifications of Capital Market Supervisory Board. Independent directors are an important part of the oversight to promote good corporate governance and protect company’s and
explicit responsibility) and to minimise the cost of compliance with multiple systems by corporations. When regulatory responsibilities or oversight are delegated to non-public bodies, it is 16 G20/OECD
conduct. 2 The company should specify anti-corruption measures suitable to the risk profile of the company. 2. The board of directors demonstrates independence from the management and exercises oversight of
standard sustainable investment criteria, and subject to stricter oversight than other regular mutual funds. Once established, Thai ESG Funds must set an investment policy and investment strategies, product
regulator for Thai capital market, as evidenced by an endorsement from the European Commission (“EC”) given to the SEC in June 2013 to acknowledge the SEC’s audit oversight system as being equivalent to that
-bank listed companies. Promoting SEC Effective Growth and International Recognition The SEC is committed to improving the audit oversight system in the capital market to be in line with the international
duties of the Board of Directors to ensure control, oversight and monitoring of its performance with transparency and efficiency. Specify also the roles and duties of chairman and manager or the person