suspended the approval for {A} as an investment consultant for complex instruments type 1** for nine months and 22 days, effective from 22 April 2020. Investors are strongly advised to be cautious and
debt securities and mutual funds 6 Investment consultant on complex products Type 3. − − ✓ Only examination on high-risk or complex of debt securities and mutual funds is required. 7 General 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
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
Insurance Commission) (Available in Thai only) 1. Authorized person 2. High level executives 3. Actuary 4. Auditor
Insurance Commission) (Available in Thai only) 1. Authorized person 2. High level executives 3. Actuary 4. Auditor
base on a specific percentage of each level of the net credit balance after deduction of the present value of the collateral, and the NPL amount, which carries a high risk of being uncollectible
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
scope 3 decarbonization targets if the emissions are material (at an asset and/or sector level) and where data is available. Set portfolio targets aligned with the global goal of tackling deforestation
commercially operated and generated earnings for an extended period of time, showing reliability of the fund’s earnings. An infrastructure fund with the risk level of 8 A fund having the risk level of 8 has high