ethics or standard for conducting finance business or other financial related business: O Yes (please specify) For example, date of the incident………………..….. Details of such incident
of being lack of ethics or standard for conducting finance business or other financial related business: O Yes (please specify) For example, date of the incident………………..….. Details of such incident
, 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
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
are provided to ensure that executives and employees perform the duties with integrity and ethics: 1.2.1 Appropriate code of conduct for executives and employees; 1.2.2 Prohibitions on any actions by
ที่ส่งเสริมให้การปฏิบัติงานมีคณุภาพ เปน็ตน้ (1) ความรับผิดชอบของผู้นำต่อคุณภาพภายในสำนักงาน (Leadership Responsibilities) 4 (2) ข้อกำหนดด้านจรรยาบรรณ (Ethics) การปฏิบตัติามขอกำหนดด้านจรรยาบรรณที่เกี่ยว
professional ethics, the provisions of law relating to auditors, and the SEC regulations. Furthermore, registered auditors shall work for audit firms that have an audit quality control system in compliance with
of Internal Audit) (ง) ประมวลจรรยาบรรณ (Code of Ethics) (3) กฎหมาย กฎเกณฑ์ และระเบียบอื่น ๆ ที่เก่ียวข้อง 2 อำนาจหน้าที่ ฝ่ายตรวจสอบฯ มีอำนาจหน้าที่ ดังนี้ (1) รายงานด้านการปฏิบัติงานตรวจสอบภายใน