DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22
Case studies Source: Sustainalytics, 2017 ▪ External Review report by Sustainalytics – extracts: • Opinion Summary …Green Bond Framework is transparent and robust and aligns with four pillars of the
Provincial Waterworks Authority Attention: Directors and Managers The Stock Exchange of Thailand CC: Secretary-General of the Office of the Securities and Exchange Commission, Thailand Attachment: Map of the
relations. The SFC is the principal regulator of the securities and futures market in Hong Kong and the primary authority for regulating retail funds offered to the public in Hong Kong. The role of the SFC is
Outlook Continued robust growth of Thailand Tourism industry 2017 Thailand tourism revenue increased by 9.5% from 2016 to THB 2.75 trillion, accounted for approximately 20% of GDP, contributed by revenue
contribute to good stewardship and promote the delivery of the institution’s or its clients’ investment objectives. They should provide a clear rationale for their approach. 4. The Financial Services Authority
any other credible, robust methodology used by a relevant national or international rating agency or authority (e.g., US Environmental Protection Agency standards). If the asset or project relates to
affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors in the audit firm who has
to explore different business models and new ways of working that strengthen both business performance and drive forward better outcomes for people and planet. By helping to create robust internal
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction