TISCO ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 20/05/2014 - 30/05/2014
KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 24/10/2012 - 30/10/2012
KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Specific Fund | Offering Date : 08/10/2012 - 12/10/2012
UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Foreign Investment Fund : FIF,Specific Fund | Offering Date : 09/09/2013 - 12/09/2013
-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
representative in Thailand Information as of XX XX XXXX Name of the ARFP Fund Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation Investment policy and
Fund Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation Investment policy and strategy Calendar year performance and benchmarks over the past
Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
challenging to audit due to high degree of judgment required. • Complex transactions • Complexities of auditing IT : in particular in the areas of valuation, internal control and evidence of work performed
weighted average scores for each TSQC1 element from the first-cycle and the second-cycle of firm-level inspections The SEC found that the audits of listed companies’ financial statements were of high quality