appropriate capacity and experience to oversee effectively and manage all relevant activities in the interests of beneficiaries or clients. 1.4 Conflicts of interest, codes of ethics, compliance Institutional
therein being that such person shall be registered as a qualified fund supervisor – for the benefit in considering the registration of such qualified fund supervisor, the Office of the Securities and
______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification therein being that such
of Ethics) 17/02/2542 6. หนังสือเวียน ที่ กลต.ธ.(ว) 2/2550 เรื่อง แนวทางพิจารณาลักษณะต้องห้ามผู้บริหารบริษัทหลักทรัพย์ตามมาตรา 103 (8) 22/01/2550 7. หนังสือเวียน ที่ ธ.(ว) 4/2548 เรื่อง การนำส่ง
following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or
Requirements) Public Interest Entities (PIEs) - 3 - IFAC code of ethics 3 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) 3.4 (Human Resources) - 4 - 3.5 (Engagement Performance
3 POLICY & PROCEDURE SocialEnvironment Governance Sustainable Development Policy ▪ CG Policy ▪ Business ethics manual ▪ Anti-corruption ▪ Vendor Code of Conduct ▪ Tax policy ▪ Human rights Policy o
cooperation for the regulator, as well as lacked of professional ethics and securities business conduct. Such actions are considered in violation of the SEC?s Notification No. SorThor/Nor.13/2542 Re