, soliciting, giving advice, preparing investment plan, or analyzing the value or suitability of trading or investing in securities give force to the securities company including ethics and professional
including ethics and professional standards stipulated by the association in securities business or any other organizations in securities business accepted by the Office, mutatis mutandis. (Translation) 7
] the code of ethics and standards of professional conduct as defined by the associations related to securities business or by organizations in connection with securities business recognized by the SEC
. In this regard, if the intermediaries proceed differently from this practice guidelines, the intermediaries shall have an obligation in proving that such proceeding is still under the principles and
intermediaries proceed differently from this practice guidelines, the intermediaries shall have an obligation in proving that such proceeding is still under the principles and provisions of the Notification No
28 เมษายน พ.ศ. 2551 2. แก้ไขแนวทางปฏิบัติ เรื่อง การบริหารความต่อเนื่องทางธุรกิจ (Business Continuity Management) ให้มีความชัดเจนยิ่งข้ึน โดยเป็นการแก้ไขให้สอดคล้องกับ High-level principles for
Service Co., Ltd., aligns its sustainability practices with the overarching principles of the AFS Group. The Company has appointed both a dedicated sustainability working group and a formal sustainability
market. Division 2 Principle for business operation of an intermediary _____________________________ Clause 3 For legitimacy of business operation, an intermediary is obligated to the principles as
ซึ่งขอบเขตดงักล่าวเป็นไป ตามนยิาม “Corporate Governance” ที่ก าหนดใน G20/OECD Principles of Corporate Governance (2015)1 (“OECD Principles”) “การบริหารกจิการทีด่ี” ตามหลักปฏิบัตนิี้ หมายถงึ การบริหารกิจ