SEC Office. (Reasons for seeking an exemption are required for the SEC Office's consideration). 4.5 Having not been accused of or subject to criminal proceeding, whether under Thai or foreign laws
on which the advice is given or order is placed, as the case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been
case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been completed within such period, the record of such advice
representatives of the class members in proceeding with the case in Court. The judgment of the Court shall have the consequence of binding the parties and the members of the class. The plaintiff or the counsel for
Market (AIM). • Park, park, Shiroshita, and Sun, 2014 EFA Proceeding: Wealth effect of involuntary delisting between 2002-2012 in Japan is -70%. (TSE, Osaka, etc.) • Saengow (MIF, Thammsat, 2015) Using
practices, and adhere to applicable laws; c) embody high standards of business ethics and oversee the implementation of codes of conduct that engender a corporate culture of integrity; d) oversee the
& business ethics • Maximizing energy efficiency • Conservation of natural resources and waste management • Operational efficiency with an emphasis on safety, security, health, and environment • Rights and
transactions. The board should adopt an ethics and conflicts of interest policy consistent with applicable law and standards (including fiduciary duties), and establish clear guidelines and procedures for
Consider and beware of firm’s ethics and professional skepticism in context of being “business advisers” 3 How does the firm prevent undue influence being exercised where significant level of non-audit
behavior regarding selling of non-audit services? 2 Consider and beware of firm’s ethics and professional skepticism in context of being “business advisers” 3 How does the firm prevent undue influence being