Regulations SHARE : Detail Content Regulations Regulations Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Business Operators Registered
Bangkok, March 26, 2015 ? The SEC recently hosted ?3rd ASEAN Audit Inspection Workshop? and ?2nd ASEAN Financial Statement Surveillance Workshop,? the international audit oversight events, in Bangkok
regulators in terms that the SEC is independent from audit profession and the audit oversight system in Thailand is in line with international standards. Therefore, this will help enhancing investors
operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring
2008 to address concerns about the role of CRAs in the wake of the financial crisis, and again in 2015 to take into account the CRA registration and oversight programs implemented by IOSCO members. A-4
Delegate climate-related responsibilities to specific executives and/or board committees and clarify oversight and reporting lines. Responsibilities should cover climate-related risk assessment, monitoring
criteria ▪ Step 3: Introduce oversight ▪ Step 4: Adapt investment process ▪ ABSOLUTE EXCLUSION No investment in exclusionary criteria ▪ THRESHOLD EXCLUSION Partial investment ▪ RELATIVE EXCLUSION Best-in
standard sustainable investment criteria, and subject to stricter oversight than other regular mutual funds. Once established, Thai ESG Funds must set an investment policy and investment strategies, product
written investment governance policy, (4) making informed investment decisions and monitoring investee companies regularly, (5) escalating monitoring of and engagement with the investee companies in case of
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact