Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products 1 Obtained a bachelor’s degree ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment
or an investment consultant for complex products (Type 1)3 − − − ✓ 2 Passed Level 3 of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA) examination
Concept CG Code Practice Notes SET Ministry of Commerce Other related entities Company Profile Assessment National level Listed company level Archive CG CSR Anti-corruption AGM FAQ News/Events FAQ
who is assigned by the board of directors to be the highest level responsible for the management of the company regardless of whichever name is called; (3) “authorized management person” means a deputy
and Participation Disclosure and Transparency Internal Control and Internal Value Creation by Enhancing Market Competitiveness Code of Conduct and Code of Ethics The Board-Level Code of Governance
passed by the unitholders (1) In case of amalgamation/merger of the mutual fund with the same investment policy and level of risk spectrum, must obtain majority resolution by unitholders of each fund
passed by the unitholders (1) In case of amalgamation/merger of the mutual fund with the same investment policy and level of risk spectrum, must obtain majority resolution by unitholders of each fund
Ministry of Commerce Other related entities Company Profile Assessment National level Listed company level Archive CG CSR Anti-corruption AGM FAQ News/Events FAQ Board roles and responsibilities One Report
Concept CG Code Practice Notes SET Ministry of Commerce Other related entities Company Profile Assessment National level Listed company level Archive CG CSR Anti-corruption AGM FAQ News/Events FAQ
6. Audit risks related to developments in the audit firms and profession Tone at the Top / Culture • Potential causes behind lack of improvement in level of inspection findings: fee pressures