past 3 years prior to the application date 3 or ✓ ✓ ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA) examination, or the
PotentialTiming Level Issuer Portfolio Present Breadth Macro Sector-level Micro Issue Categorising Material ESG Factors SEC Classification : ใชภ้ายใน (Internal) 11 Source: PRI Choosing Credit-relevant Time Horizons
Signatories Examples (International) Corporate Governance Code 2017 Concept CG Code Practice Notes SET Ministry of Commerce Other related entities Company Profile Assessment National level Listed company
Signatories Examples (International) Corporate Governance Code 2017 Concept CG Code Practice Notes SET Ministry of Commerce Other related entities Company Profile Assessment National level Listed company
responsibilities engagement partner clearly defined and communicated to that partner? 10 Does the firm have policies and procedures regarding to the assignment of engagement teams and the level of supervision
registrar’s name, the period of the mutual fund, the scheme’s capital amount, and the characteristics of unitholders; (2)2 a diagram showing the mutual fund’s risk level and a summary of important risk factors
statistical information Our focus for 2014 2 4 8 15 19 33 37 40 47 49 Summary of inspection results A. Firm level B. Engagement level A. Firm level B. Engagement level 1 Thai capital market is one of the
Assurance Review Panel (“QARP”) 5 02 Activities for enhancing audit quality 10 03 Summary of inspection results 15 A. Firm level 16 B. Engagement level 28 04 Root cause analysis 38 05 Our focus for 2015 41 06
regulations governing auditors to international standards by focusing on the quality assurance of an audit firm’s procedures both firm level and engagement level. As a result, the quality of auditor supervision
debt securities and mutual funds 1 Obtained a bachelor’s degree. ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA