investment strategy. The addressed risks should include both physical and transition risks. 12 Source: TCFD Risk Management c) Integration to overall risk management: Describe how processes for identifying

shareholder meeting in key company decisions. The chapter also deals with disclosure of control structures, such as different voting rights. New issues in this chapter include the use of information technology

Bangkok, November 10, 2006 ? The SEC Board Resolutions No.12/2549 include a plan to liberalize securities businesses as follows: 1. New and unlimited securities licenses in 2012 To stimulate the

from taking certain actions. Examples of the covenants include a. prohibition on the payment of dividends if certain conditions are met in order to prevent depletion of the issuer’s funds that are

include the following procedures: (1) gathering of evidence considered necessary for fact proving; (2) admission of evidence, explanation or opinion of the SEC Office, an alleged person or a witness or

diversity of perspectives to generate effective challenge, discussion and objective decision-making. 3.2 Diversity The board should disclose the company’s policy on diversity which should include measurable

include therein excessive transactions (churning) in the following manners: (1) refrain from soliciting or encouraging clients to enter into transactions more often than necessary; (2) refrain from entering

prescribing a policy for prevention and management of conflicts of interest in accordance with Clause 17 of the Notification on Standard Conduct of Business , an intermediary shall include therein excessive

. Investee’s emissions include its Scope 1 and 2 emissions, which should be calculated according to the GHG Protocol. Investment emissions (category 15) include the operation of investments in the reporting year

of an authorised person of CIS Operator Please print this checklist and include it in the package of this form Page 2 of 5 Form 69 – CIS full Registration Statement for an offer for sale of units of