Exchange Act B.E. 2535 (1992) with the duty to supervise and develop the Thai capital market to ensure efficiency, fairness, transparency and integrity. One of the SEC?s responsibilities is to monitor and
(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
confidentiality, integrity, and availability of business information, including market-sensitive information. The board should monitor the implementation of the information security policies and procedures and the
(1992) with the duty to supervise and develop the Thai capital market to ensure efficiency, fairness, transparency and integrity. One of the SEC?s responsibilities is to monitor and enforce the
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
major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The
Client Acceptance: Firm's Reference /Guidance Notes Description 1 The standard documentation highlights all important matters for consideration, including: • integrity and identification checks on client