, 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
, 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
trading prices. Although the Thai BDC is a rule maker on ethics, practices and standards in the secondary market of debt instruments as well as supervises traders, it does not do much in terms of market
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
qualifications as when first applied and must retake and pass relevant examinations. If an examination on ethics was not required for the entrance application, the applicant must pass such examination this time
relevant examinations. If an examination on ethics was not required for the entrance application, the applicant must pass such examination this time. − ✓ ✓
, prudence and care in carrying out the tasks professionally; Upholding professional code of ethics; Preparing working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC