regulatory concern, both global & national level Responding to climate change focus Growing institutional and retail investors interest Shifting consumer preferences and embedding in business increasing global
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
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
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
seriously come into question, especially when it involves those with high-level positions. The SEC, then, prefers that audit firms limit their risk exposures by progressively reducing the extent of personal
long-term, trust-based relationship is built between investor and investee, particularly when the conversation escalates to a high level (e.g. C Suite executives). • State-owned enterprises (SOEs) may
local representative in Thailand Information as of XX XX XXXX Name of the ASEAN CIS 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
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
. • Create a liquid savings reserve (emergency fund) before contemplating investing. • Choose investments that suit the individual’s risk tolerance level and investment objectives. • Diversify investments