act of other person; (2) there are reasonable grounds to believe that he or she is or having been reasonably suspected of being lack of ethics or standard of performance relating to (a) securities

one and such conduct lacks ethics or standards of conduct and processes prohibited characteristics as specified in the notification of the Securities and Exchange Commission governing prohibited

or used to have any behavior that, if considered on a reasonable ground, indicates lack of ethics or standards of conduct in connection with securities or derivatives business set by an association

by Code of Ethics for Professional Accountants promulgated by International Federation of Accountants (IFAC). As shown in figure 14, audit firms in the capital market whose auditors exceed four in 2019

​ ​ ​ • ผลงานวิจัยเรื่อง “Corporate Governance for Asian Publicly Listed Family-controlled Firms” -  Presentation ​โดย Dr. Tony Tan Co-head of Ethics, Standards and Professional Conduct, CFA Institute ​ วันที่

of intermediaries by revising the period of fee payment. The public hearing on the principles for amending the rules took place from 17 July to 20 August 2019. The proposed amendments have taken into

based on the United Nations Guiding Principles on Business and Human Rights (UNGPs), a major driving force toward business competitiveness and sustainability. The SEC also used the opportunity to

principles and changing advanced technologies. The proposed revisions would apply to future exchange, derivative clearing house, securities clearing house and securities depository with regard to improvement

follows: (1)      Implement a policy on fintech application at board or executives level ; (2)      Have persons understand the basic principles of technology usage;(3)      Allow fund managers or

approval for the personnel working for them. In late last year, the SEC sought stakeholders’ opinions on the principles of the proposed amendment and most agreed with the proposal. Currently, the SEC is