can better diversify the investment risks, and receive professional services in monitoring and managing the investments. Establishment of Mutual Funds Cross-boder Offering of Funds Offering for Sale
Trustee?? Open API : License Check License Check Licenses and https://secopendata.sec.or.th/Intermediaries/Professional
results on the quality control system, especially the risks associated with the non-compliance with the policies, procedures, standards on auditing, the Code of Ethics for Professional Accountants, and the
“Network Firm” in this document has the same meaning as defined in the Code of Ethics for Professional Accountants which refers to businesses affiliated to Audit Firm that (a) have the intention to cooperate
PowerPoint Presentation Third Quarter 2022 ESG Integration in Fixed Income Prepared for UN PRI & SEC Thailand September 2022 For Institutional/Investment Professional Use Only. Not for distribution
firm – a. Undertakes only those engagements that the firm can reasonably expect to be completed with professional competence b. Appropriately considers the risks associated with providing professional
testimony to competent officer - - 1 1 - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 43 80 29 137 111 218 32
of conduct specified by the SEC Office, or by the Association of Investment Management Companies with approval of the SEC Office; (3) the professional ethics and standards specified by the Association
. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services
order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably