According to a referral from the Stock Exchange of Thailand (SET) and the SEC’s further examination, there was evidence that 13 persons, namely: (1) Mr. Suraphong Triamchanchai, (2) Nippon Pack

PowerPoint Presentation CORPORATE GOVERNANCE FOR ASIAN PUBLICLY LISTED FAMILY-CONTROLLED FIRMS Dr. Tony Tan, CFA Co-Head, Ethics, Standards & Professional Conduct 6 December 2017 Bangkok, Thailand

&C : Client acceptance and continuance HR : Human resources EP : Engagement performance MR : Monitoring The evaluation result in most of the ISQC elements clearly manifest the sequent development in

, remuneration, development, and performance evaluation. e) Ensuring appropriate compensation architecture that supports achievement of the company’s objectives. ​a) Formulating and reviewing policies and

years during the past 5 years prior to the application date. ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA) examination, or

Chartered Financial Analyst (CFA) examination, or Certified Financial Planner (CFP) program. Local or foreign organization for a total period of at least 1 year during the past 3 years prior to the

PowerPoint Presentation Third Quarter 2022 ESG Integration in Fixed Income Prepared for UN PRI & SEC Thailand September 2022 For Institutional/Investment Professional Use Only. Not for distribution

regulations as well as ethics and professional standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the

after having been granted an approval. The required course shall be a refresher course relating to law on securities and exchange, applicable rules and regulations as well as ethics and professional

and Securities Analyst (CISA) or Chartered Financial Analyst (CFA) examination, or the Certified Financial Planner (CFP) program. − ✓ Except those having passed CISA Level 1 or higher. − 3 Passed the