บังคับ 1. ประกาศคณะกรรมการ ก.ล.ต. ที่ กธ/น/ข. 3/2548 เรื่อง ลักษณะต้องห้ามของบุคลากรในธุรกิจหลักทรัพย์ 17/01/2548 01/03/2548 2. ประกาศคณะกรรมการ ก.ล.ต. ที่ กธ/น/ข. 4/2548 เรื่อง คุณสมบัติและลักษณะต้อง
following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or
Professional Accounting Standards, the Code of Ethics for Professional Accountants and Provisions of the Law on Professional Accountants such as the Thai Standards on Auditing (TSA) concerning the Auditor’s
seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause
obtaining facts relating to such circumstances to be in accordance with the Code of Ethics for Professional Accountants and Provisions of the Law on Professional Accountants, such as the Thai Standards on
3 POLICY & PROCEDURE SocialEnvironment Governance Sustainable Development Policy ▪ CG Policy ▪ Business ethics manual ▪ Anti-corruption ▪ Vendor Code of Conduct ▪ Tax policy ▪ Human rights Policy o
Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
activities Skill and knowledge-oriented activities useful for performing duties of investor contacts, covering (1) business-related subjects and (2) rules, regulations, code of ethics or relevant laws. 1.3
. 1.2 Scope of activities Skill and knowledge-oriented activities useful for performing duties of investor contacts, covering (1) business-related subjects and (2) rules, regulations, code of ethics or