, regulations, ethics or relevant laws e.g.: (a) Rules and regulations concerning undertaking of securities businesses or compliance with the law governing securities and exchange such as the rules on the

securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules, regulations, ethics

auditor fails to have the qualifications in compliance with Clause 7; (2) the foreign auditor has a behavior that indicates a lack of professional ethics or violates or fails to comply with the

Office of the Securities and Exchange Commission  OrThor/Nor. 3/2542 Re: Code of Ethics for the Executives of the Securities Company   17/02/1999 6. Circular   2/2550    22/01/2007 7. Circular   4/2548

standards, ethics, and rules of the Notification of the Office of the Securities and Exchange Commission concerning Approval of Auditors in the Capital Market as well as cooperate with the Office of the

engagement performance and responsibilities of the audit firm; 7. I will supervise engagement performance of the applicant to ensure that he or she comply with the professional standards, ethics, and rules of

level staff. Female employees account for 67 percent of the total number of employees. In addition, the employee ethics regarding the treatment of colleagues indicate that employees must not commit

intermediaries and personnel in the capital market to adopt standard codes of ethics and provide quality services for clients? best interest,? Mr. Rapee concluded.The Strategic Plan 2018-2020 focuses on

and strengthen professionalism in financial industry in term of financial knowledge, analytical skills, stock valuation and ethics-based performance which assures the quality of CFA certificate holders

, they still need to develop further in the five following areas including 1) Anti-corruption 2) Whistleblowing 3) Effective implementation of business ethics 4) Review and monitor corporate strategy