regulation & stewardship codes ▪ Aligned with investment strategy and reviewed regularly ▪ Clearly outlines the scope of the policy and the assets it covers https://www.unpri.org/listed-equity/a-practical
, CIPM ฐิติพงศ์ อมรธรรมนิยม, CFA พงศธร ปริญญาวุฒิชัย ฝ่ายวิจัยและขับเคลื่อนข้อมูล ส านักงาน ก.ล.ต. 2023 Algorithmic Trading (AT) High Frequency Trading (HFT) Regulatory Framework Scope & Terminology 21
must be within the scope agreed by the clients in advance, in order to expand the service scope of the business operators and meet the investors’ requirements in a more comprehensive and convenient
accounting principles. Moreover, the auditor was unable to find sufficient supporting evidence to satisfy the audit procedures due to limitation on scope of audit imposed by the PICNI management in various
luxury products. For these so-called Sustainability-Linked Bonds, the selected KPIs to be linked to the variation of the bonds’ financial and/or structural characteristics are the following: - KPI 1: Scope
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the
clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the intermediaries should study standards and practice guidelines for business
underwriters by offering vital steps that will facilitate transactions that preserve the integrity of the market. The GBP recommend a clear process and disclosure for issuers, which investors, banks