รบรรษัทภิบาลแห่งชาติได้มีมติให้ประเทศไทยเข้าร่วมโครงการประเมินการปฏิบัติตามมาตรฐานสากล (Report on the Observance of Standards and Codes : ROSCs) รวมถึงในส่วนที่เกี่ยวกับการป้องกันและปราบปรามการฟอกเงินและการ
fundamentals which should be included in individual CRA codes of conduct, and the elements contained in the IOSCO CRA Code should receive the full support of CRA management and be backed by thorough compliance
รับการประเมินความพร้อมภายใต้โครงการประเมิน การปฏิบัติตามมาตรฐานสากล (Report on the Observance of Standards and Codes : ROSCs) โดยผู้เชี่ยวชาญจาก World Bank (WB) และ International Monetary Fund (IMF) ใน
, regulations, codes of conduct, and relevant law. In case such investor contact also obtained approval to be derivatives investor contact, the syllabus of the training, activities, or additional courses must
’ study on rules, regulations, codes of conduct, and relevant law. In case such investor contact also obtained approval to be derivatives investor contact, the syllabus of the training, activities, or
based on integrity and codes of conduct in the following areas: 1.1.1 Daily routine operation and decision making; 1.1.2 Treatment of trade partners, clients and other parties. 1.2 Following written rules
, trader codes/details of the business entities whose financial statements for the latest period have been signed by an auditor in giving opinion or whose working paper has been reviewed by the SEC Office
, trader codes/details of the business entities whose financial statements for the latest financial period have been signed by an auditor in giving opinions or whose working paper has been reviewed by the
characteristics that is likely to cause damages to investor or client, the derivatives trading system or the overall capital market: (a) seriously lack of business codes of conduct; (b) lack of sufficient