to the governance of collective vehicles more directly under the oversight of fund managers but which also need some independence of approach in the interests of their beneficiaries; such vehicles
accounting standards while auditors must work for audit firms that have a quality assurance system in place. In addition, the SEC encouraged trade associations to expedite its preparation for self-regulation
forthcoming liberalization within five years. Message from the Secretary-General 4 not only empowered businesses but also furthered the moves toward the SEC's much anticipated self- regulation. On social
ประเทศไทย ก.ล.ต. เข้ำร่วมกำรฝึกอบรมและกำรประชุม International Forum of Independence Audit Regulators (“IFIAR”) ในเดอืนมนีำคม และเมษำยน 2557 ณ ประเทศมำเลเซยี และประเทศสหรฐัอเมริกำ ตำมลำดับ เพื่อแลกเปลี่ยนควำ
Investor Strategies for Incorporating ESG Considerations into Corporate Interactions www.blackrock.com www.ceres.org Century21st Engagement Investor Strategies for Incorporating ESG Considerations into Corporate Interactions [ 5 ] FOREWORD The Value of Our Voice ......................................................................................................................................... 1 How ESG Megatrends Are Shaping Valuation ...........................................................
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
Clause 17; (e) it shall be demonstrated that the trustee has the availability to perform duties and not lack of independence as prescribed in the Notification of the Securities and Exchange Commission
securities in the manner which may lead to lack of independence of the financial advisor in performing his duties. The financial advisor under (1), (2) or (5) of Paragraph 1 shall include major shareholders of