2017 > CG Code > Principle 7 Ensure Disclosure and Financial Integrity CG Thailand Overview CG and sustainable business development SEC Roles Related organizations Related persons Sustainable
of good corporate governance (CG). After listing, the supervisory mechanism will ensure that listed companies maintain their quality, operate business with integrity, have an internal control system
operated. General controls are implemented to ensure that all automated applications are developed, implemented, and maintained properly, and in addition, that the integrity of program and data files and of
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
(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
โปร่งใสของ ก.ล.ต. จัดประชุมออนไลน์เพื่อหารือเกี่ยวกับการเข้าร่วมการประเมินคุณธรรมและความโปร่งใสในการดำเนินงานของหน่วยงานภาครัฐ (Integrity and Transparency Assessment : ITA) และมาตรการส่งเสริมคุณธรรมและ
objectives of securities regulations identified by IOSCO: the protection of investors; ensuring that markets are fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of
Does the firm have access to current guidance materials regarding the applicable independence, integrity, and objectivity requirements? a. If “yes,” describe the source of such material (such as access
accounts regularly to prevent other persons from using the accounts to trade securities without the investors’ authorization. Besides, transaction conformation documents must always be monitored to make sure
well as maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under