. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing
securities company shall have a code of conduct in writing, to be approved by the Board or Committee of the securities company, on the following issues: (1) the effective system of internal control and system
the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board
required to report violations or any significant abnormality to the person responsible for the information security incident management without delay; (3) put in place a disciplinary process to take action
Clause 28 Personnel in the capital market business shall not possess the following prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law
(“IESBA”) ไดกำหนดเรื่องการตอบสนองตอการไมปฏิบัติตามกฎหมายและขอบังคับ (Non-compliance with Laws and Regulations) ใน Handbook of the International Code of Ethics for Professional Accountants (จรรยาบรรณของ
characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic
, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of