professional standards and/or regulation, such as accounting firms, accredited verifiers, and regulated credit rating agencies, while others are not. At a high level, all firms providing external reviews should
market Moderate to high exposure to the capital market Low to moderate exposure to the capital market Low exposure to the capital market Figure 1: The firm-level inspection results, categorized by risk
asset rules, investment rules with higher level of diversification and reclassifications of funds to better reflect investment risks on the basis of exposure to net asset value instead of investment value
. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking
the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4
(s) (i.e. relevance, materiality), the motivation for the SPT(s) (i.e. ambition level, consistency with overall strategic planning and benchmarking approach), the potential change of bond financial and
regulatory concern, both global & national level Responding to climate change focus Growing institutional and retail investors interest Shifting consumer preferences and embedding in business increasing global
flat service revenue both qoq and yoy. Our mobile business still contracted (-1.5% yoy, -0.9% qoq) but at much lower pace while the home broadband business hit a new high of demand to work from home (+21
oil inventory remained high, crude palm oil (CPO) price continuously declined, as well as Crude Palm Kernel Oil (CPKO) price decreased. This year, the Thai government biodiesel mandate was set to B5 and
-risk or complex products, i.e., derivatives, high-risk or complex of debt securities and mutual funds 1 Obtained a bachelor’s degree. ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and