) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties

Futures Co., Ltd. The SEC's finding indicated that he had falsified documents by signing the documents on behalf of the client and made copy of client's identification card to obtain a gift voucher. When

leader of the audit firm and authorized signatory of the audit firm. - 3) Certification of the Applicant via SEC Office Online Form Original: 1 copy Photocopy: 0 copy Remark: Signature of the applicant - 4

: ASEAN Sustainability Bond Standards (ASEAN SUS) or International Capital Market Association Sustainability Bond Guidelines (ICMA SBG). In any case, the issuer must prepare and submit the certification of

%B8%B1%E0%B8%9E%... E_1 Legal_FA_2015_12_29-c supporting escrow agency businesses, while the method for deposit certification/deposit notification has been amended to accommodate electronic channels. 4

. 2561 (2018 https://market.sec.or.th/public/idisc/Download?FILEID=dat/news/201808/18080266.pdf E_1 Legal_FA_2015_12_29-c supporting escrow agency businesses, while the method for deposit certification

potentials and appropriate qualifications, to become ready for corporate leadership roles, through IOD’s training program for corporate directors, the Director Certification Program (DCP). The project is also

regarding anti-corruption policy and practices. Level 4 ? Certified: indicating an implementation audited by audit committee or SEC-approved auditor, a certification by Collective Action Coalition (CAC) or an

investment scheme]. Clause 10. Securities company shall submit to the SEC Office information and certification obtained from person responsible for undertaking of foreign collective investment scheme under

identification of clients and the beneficial owners of derivatives traded by clients in accordance with the information obtained from members. Such identification may be recorded in the form of Identification Card