ซื่อสัตย์ ยุติธรรม และมีคุณธรรม (honesty, fairness and integrity) ผู้ประกอบธุรกิจต้องดำเนินธุรกิจด้วยความซื่อสัตย์ ยุติธรรม และมีคุณธรรม โดยให้ความ
Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
objectives of securities regulations identified by IOSCO: the protection of investors; ensuring that markets are fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of
(IMA) Control Environment 1. The organization demonstrates a commitment to integrity and ethical values. Questions Yes No 1.1 The board of directors and the management set up principles and guidelines
Does the firm have access to current guidance materials regarding the applicable independence, integrity, and objectivity requirements? a. If “yes,” describe the source of such material (such as access
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of investors’ interest as well
management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of investors’ interest
investor confidence and trust but also ensuring business integrity and creating long-term business value. In conducting its leadership roles and responsiblilities, the board should strive for the following
honesty and integrity based on their career records, as well as having skills and experiences which are beneficial to the business operation; (4) being able to show the readiness of its work system and