; (5) Having passed the fundamental knowledge examination on the subjects of securities and exchange laws, the relevant rules and regulations and professional ethics and standards, which is administered
establish transparent and fair membership criteria, which shall focus on the suitability, financial status, performances, readiness, capability and professional codes of ethics of the applicants. Clause 15 A
. If an examination on ethics was not required for the entrance application, the applicant must pass such examination this time. ✓ ✓ ✓ (UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval
มีการจัดทำ code of ethics ตัวอย่างที่ดี - เปิดเผยว่าบริษัทมีการจัดทำ code of ethics โดยมีหัวข้อหลักอะไรบ้าง กำหนดวิธีปฏิบัติงานอย่างไร และบริษัทได้มีการสื่อสารให้กรรมการและพนักงานทุกคน
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
ethics and professional standards. In this regards, the compliance officer and compliance unit shall be independent from other units: (b) determine the annual inspection plan which is approved by the board
, code of ethics and professional standards. In this regards, the compliance officer and compliance unit shall be independent from other units: (b) determine the annual inspection plan which is approved by
related work to be in accordance with laws, code of ethics and professional standards. In this regards, the compliance officer and compliance unit shall be independent from other units: (b) determine the
political climates. In the meantime, linkage of regional economic zones that is increasingly diminishing the geographical border line of the financial world will drive relevant parties in both business and