sufficient and reliable for supervising its auditors’ work performance to comply with the professional standards on a continuous basis. Such audit quality control system shall comply with the audit quality
characteristics and shall comply with the Notifications of the Associations approved by the SEC Office: (1) supervising the trading of capital market products by the employees, both for the investment of the
Business (No. 3) B.E. 2555 9 (b) policy and effective measures for preventing conflict of interests, learning of inside information between units and personnel, internal control and risk management for
เนื่อง อาทิ อบรมให้ความรู้และประเมินความรู้ความเข้าใจเก่ียวกบัการปฏิบตัิตามจรรยาบรรณของพนกังานและนโยบาย การป้องกนัการหาผลประโยชน์ในหน้าที่โดยมิชอบผา่นระบบ e-Learning จดับรรยายให้ความรู้แก่ผู้บริหารผา่น
investment units of foreign fund, such fund shall be in conforming to the following conditions: (a) it has to be under the supervision of a regulatory agency supervising securities and securities exchanges
responsible for the safe keeping of the trust’s assets and supervising the trust manager and other delegates (if any) to act in accordance with any such agreements and the laws; If the investment will be made
Office, and the Bank of Thailand, for the purposes of supervising and examining the financial status and risks of members. 8 Clause 19 To preserve the public interest and to protect investors, a securities
intermediary and the clients; (7) measures for supervising a service provider to comply with the regulations relevant to outsourced function as stipulated by the Securities and Exchange Commission, the Capital
service provider for protecting the information of the intermediary and the clients; (7) measures for supervising a service provider to comply with the regulations relevant to outsourced function as