will be ready, and such personnel shall have knowledge, abilities and experience appropriate for the nature of the responsible jobs and shall have integrity, honesty, professional ethics, fundamental
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
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
(Moral and ethics) 2. การบริหารจัดการ การปฏิบัติหน้าที่ให้บรรลุวัตถุประสงค์ ซึ่งรวมถึงหลัก ความมีประสิทธิผล (effectiveness) ประสิทธิภาพ (efficiency) ตอบสนอง และสร้างคุณค่าให้ผู้มีส่วนได้เสีย