The SEC reviewed the principles for overseeing bills issued as securities to ensure compliance with the intent of the Securities and Exchange Act B.E. 2535 (1992) and consistency with the current
has therefore put in place a robust conflict management framework that specifically addresses the need for analyst independence, consistency of process, structural separation of commercial and research
professional ethics, the provisions of law relating to auditors, and the SEC regulations. Furthermore, registered auditors shall work for audit firms that have an audit quality control system in compliance with
related expenses. The intended outcome of the proposed amendment is to promote consistency and common standards of business operation among digital asset business operators while facilitating more
proposing criteria on information disclosure and risk warnings on such issues to ensure consistency and proper conduct by DA operators. The essences are as follows: (1) DA operators must disclose the risks
of Ethics) 17/02/2542 6. หนังสือเวียน ที่ กลต.ธ.(ว) 2/2550 เรื่อง แนวทางพิจารณาลักษณะต้องห้ามผู้บริหารบริษัทหลักทรัพย์ตามมาตรา 103 (8) 22/01/2550 7. หนังสือเวียน ที่ ธ.(ว) 4/2548 เรื่อง การนำส่ง
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
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