18-22 September 2017 Purpose, Values & Culture How Does It Drive Governance?

• Artivision Technologies Limited
• Baker Technology Limited
• Del Monte Pacific Limited
• Dynamic Colours Limited
• Hong Leong Asia Limited
• Hotel Royal Limited
• InnoTek Limited
• Japan Foods Holding Limited
• K1 Ventures Limited
• Manufacturing Integration Technology Limited
• Miyoshi Limited
• Mun Siong Engineering Limited
• Riverstone Holdings Limited
• SBS Transit Limited
• Singapore O&G Limited
• Soilbuild Construction Group Limited
• VICOM Limited

Objective

To encourage SGX-listed SMEs to be more transparent so as to help investors make informed decisions.

Selection Process

Companies are first evaluated and shortlisted using the scorecard developed for SIAS by CGIO of NUS Business School which includes an emphasis on shareholders' rights and updated coverage of stakeholder engagement from the G20/OECD Principles of Corporate Governance. Companies are assessed on transparency and disclosures in key areas such as related party transactions, timely financial reports, directorships held in other companies. The selection process also takes into consideration the "Disclosure and Transparency" aspect based on publicly available information and the company's performance.

The shortlisted companies will be reviewed based on qualitative and quantitative inputs with the Transparency Award Selection Committee Members. Companies with the highest scores may not necessary clinch the awards.

The Selection Committee

Mr. David Gerald (Chairman)
Founder, President and CEO, SIAS

Mr Christopher Cheong
Senior Lecturer, Singapore Polytechnic

Mr. Harold Woo
President, IRPAS

Prof. Lawrence Loh
Assoc Professor, Deputy Head of Department, Strategy & Policy,NUS Business School

Mr. R Sivanithy
Senior correspondent, SPH

Knowledge Partner

Big Cap

• CapitaLand Limited
• City Developments Limited
• Singapore Telecommunications Limited

Mid Cap

• AIMS AMP Capital Industrial REIT
• Ascendas Hospitality Trust
• Centurion Corporation Limited

Small Cap

• Asia Enterprises Holding Limited
• CNMC Goldmine Holdings Limited
• Micro-Mechanics (Holdings) Limited

Objective

The scorecard for the selection process is jointly developed by SIAS with the Centre for Governance, Institutions and Organisations (CGIO) of NUS Business School, to recognise listed companies that practice good investor relations.

Categories of Award

• Big Cap - market capitalisation of $1 billion and above;
• Mid Cap - market capitalisation of $300 million to less than $1 billion;
• Small Cap - market capitalisation of less than $300 million;

Selection Process

Stage 1

All SGX listed companies are evaluated based on ‘Shareholders' Rights and Equitable Treatment' and ‘Transparency and Disclosure' Sections of the STARS framework. The top 20% of companies with the highest scores are then assessed further using the Shareholder Communications Excellence Assessment Scorecard (Stage 2).

Stage 2

The shortlisted companies are also assessed based on Shareholder Communications Excellence criteria:

• Policy and Structure
• Disclosure and Practices
• Communication and Outreach
• Following and Coverage

The Company's communication activities such as Investors Day, Dialogue sessions and briefings are included as part of the overall score.

Final Selection Stage

The shortlisted companies will be reviewed based on qualitative and quantitative inputs with the SCEA Selection Committee Members.

SCEA 2017 Selection Committee Members

Chairman
Mr. David Gerald
Founder, President and CEO,
Securities Investors Association Singapore (SIAS)

Members
Mr. Ang Hao Yao
Director, Credit Counselling Singapore

Ms. Elaine Lim
Director, Stamford Corporate Services Pte Ltd
Mr. Harold Woo
President, IRPAS

Mr. Mark Laudi
CEO, Hong Bao Media

Mr. Michael Lim
Executive Director, IMAS

Mr. Sivanithy Rathanathan
Senior Correspondent, Singapore Press Holdings

Knowledge Partner

• CapitaLand Limited
• City Developments Limited
• DBS Group Holdings Limited
• Keppel Corporation Limited
• Sembcorp Industries Limited
• Sembcorp Marine Limited
• Singapore Telecommunications Limited
• StarHub Limited

Objective

The Sustainability Award (SA) is a new award jointly presented by SIAS and CGIO to recognise companies with substantial Sustainability Reporting report and practices.

Sustainability Award Assessment Process

Stage 1

Companies are assessed using the Sustainability Score Framework and the top 20% of companies are further assessed incorporating Thomson Reuters StockReports+ scores.

The Sustainability Award Scorecard assesses companies in the following areas:

• Drivers (companies are assessed on their leadership and culture)
• Ingredients (companies are assessed on their ESG practices)
• Pillars (companies are assessed on their framework, materiality assessment and stakeholder engagement)

Stage 2

All shortlisted companies for the various awards are further subjected to another round of evaluation where feedback from retail investors, funds and high net worth investors are also taken into account.

Final stage

The shortlisted companies will be reviewed based on qualitative and quantitative inputs with the SCGA Selection Committee Members. Companies with the highest scores may not necessary clinch the awards.

Winner
Phillip Securities Pte Ltd

Runners-up
CIMB Securities (Singapore) Pte Ltd
DBS Vickers Securities (Singapore) Pte Ltd

Special Award - Most Improved
KGI Securities (Singapore) Pte Ltd

Objective

To encourage brokerage firms to better their quality of service and information provided to ensure retail investors have a good understanding of what they invest in.

Selection Process

SIAS, in collaboration with Singapore Management University and Investment Trends have developed a set of criteria for the effective evaluation of brokerage firms in Singapore.

Companies are shortlisted through the following processes:

• Stage 1 – Through qualitative research, SMU identifies brokerage firms based on variables that are, inter alia, range of products, accounts and market covered, trading cost, trading platforms and modes, customer education and service, including handling of complaints, number of security measures and quality of mobile applications.
• Stage 2 – Through quantitative research, Investment Trends, a global financial services market research organisation incorporates their research findings into the survey on the brokers, based on variables such as, customer education and services, advisory services / remisiers, provision of company research, charting, choice of investments, trading ideas & strategies, functionality, speed and reliability of website and mobile app platform, and rewards loyalty programme.
• Stage 3 – Based on both qualitative and quantitative research, results are tabulated and scored.
• Final Stage – Selection Committee Members meet to decide the winners based on the tabulated results.

BRBA 2017 Selection Committee Members

Mr. Harold Woo (Chairman)
President, IRPAS

Mr. David Gerald (Ex-Officio)
Founder, President and CEO, SIAS

Prof. David Ding
Associate Professor of Finance (Education), Lee Kong Chian School of Business (SMU)

Mr. Ang Hao Yao
Director, Credit Counselling Singapore

Mr Christopher Cheong
Senior Lecturer, Singapore Polytechnic

Knowledge Partners:

Financial Journalist of the Year

• Hu Yuanwen, Business Correspondent, Lianhe Zaobao
• Jamie Lee, Banking and Finance Correspondent, The Business Times

Investor Education Journalist of the Year

• Dawn Tan, Presenter & Host, Money Mind, Channel NewsAsia
• Quek Suzane, Associate Business Editor, Lianhe Zaobao

Most Promising Journalist of the Year

• Angela Teng, Business Reporter, TODAY

Special Award

• Claire Huang, Correspondent, The Business Times
• Grace Leong, Business Correspondent, The Straits Times

Objective

To encourage financial journalists to uplift their reporting standards and provide information that will be beneficial to the investing community at large.

Selection Process

Judging of entries is based on news value, originality, reportorial quality, analytical value and impact in the financial community and to the retail investors at large.

This award is opened only to career journalists. Journalist from the local media, both print and broadcast, are eligible.

Categories

1. The Financial Journalist of the Year
   Based on news worthy contributions that had made a substantial impact on the investing community in the period under review, he/she has to be a well-rounded journalist with the ability not only to break significant stories but is also able to write commentaries that take a clear position and provide insights for investors.
2. The Investor Education Journalist of the Year
   Focusing on education and the impact on the investing community, the journalist must have displayed sound knowledge of the investment principles and the instruments discussed and written consistently over a minimum period of at least six (6) months.
3. The Most Promising Journalist of the Year
   To qualify for this award, a candidate has to be a financial journalist for not more than three years and under the age of 30.
4. Media Excellence in Community Investor Education Award
   To encourage continuity and raise the level of community education to higher standards by awarding the mainstream media, registered with IMDA.

Judging is based on:

• Educational Content - Has to cover a wide range of topics not only products (features and risks) promoting importance of financial planning including retirement planning and how impactful it is on the investing community
• Target Audience - Articles must cover a wide range of audience
• Consistency - Demonstrate on-going interest, variety and standard
• Feedback - Must be strongly supported by the readers, listeners or viewers
• Track Record - Minimum of 3 years track record in community investor education

Selection Committee

Mr David Gerald
(Chairman)
Founder, President & CEO
SIAS

Mr Andrew Cheng
Group Chief Operating Officer
Kingsmen Creatives Ltd

Mr Ang Hao Yao, CFA
Director
Credit Counselling Singapore

Ms Catherine Ong
CEO
Catherine Ong Associates

Mr. Conrad Raj
Freelance Journalist

Mr TK Yap, CFA
Executive Director, OCBC Securities Advisor, CFA Singapore & Former Member of the Board of Governors
CFA Institute

Ms Elaine Lim
Director
Stamford Corporate Services Pte Ltd

Mr Christopher Cheong
Senior Lecturer
Singapore Polytechnic