ONE ASSET MANAGEMENT LIMITED|Retirement Mutual Fund : RMF | Offering Date : 20/11/2003 - 28/11/2003

PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED| ,Super Savings Fund : SSF | Offering Date : 14/11/2019 - 22/11/2019

BANGKOK CAPITAL ASSET MANAGEMENT COMPANY LIMITED| | Offering Date : 23/03/2020 - 27/03/2020

KWI ASSET MANAGEMENT COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 15/12/2008 - 22/12/2008

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

or insurance business. This collects assets and manages them on behalf of beneficiaries or clients; its obligation is to preserve and enhance value on their behalf. It is usually overseen by some form

insurance are combined, at least under a common holding company. There is little guidance on how such financial conglomerates should be overseen or regulated beyond general requirements to separate certain

unitary board is overseen by an internal auditor’s body, the principles applicable to the board are also, mutatis mutandis, applicable. As the definition of the term “key executive” may vary among

standards should be overseen by bodies independent of the pro- fession. Recommendations:  Asian Roundtable economies should work towards convergence with high quality internationally recognised standards and

has been overseen by Credit Risk Management Sub-committee and Credit Process Management Sub-committee to ensure efficiency and effectiveness in all relevant processes, thus allowing KBank to deliver a