. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7. Derivatives broker shall

market confidence and business integrity, which in turn is essential for companies that need access to equity capital for long term investment. Access to equity capital is particularly important for future

ควบคุมภายในที่เหมาะสม (Strengthen Effective Risk Management and Internal Control) หลักปฏบิตั ิ7 รักษาความน่าเชื่อถือทางการเงินและการเปิดเผยข้อมูล (Ensure Disclosure and Financial Integrity) หลักปฏบิตั ิ8

โปร่งใสของ ก.ล.ต. จัดประชุมออนไลน์เพื่อหารือเกี่ยวกับการเข้าร่วมการประเมินคุณธรรมและความโปร่งใสในการดำเนินงานของหน่วยงานภาครัฐ (Integrity and Transparency Assessment : ITA) และมาตรการส่งเสริมคุณธรรมและ

fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of the credit rating process CRAs should endeavour to issue opinions that help reduce the asymmetry of

giving an importance to information technology security, integrity and availability; (e) preventing the securities trading center, directors, executives and employees from seeking benefits wrongfully by

technology risk and cyber risk by giving an importance to information technology security, integrity and availability; (e) preventing the securities trading center, directors, executives and employees from

importance to information technology security, integrity and availability; (e) preventing the business operator, directors, executives and employees from seeking benefits wrongfully by virtue of duty

technology security, integrity and availability; (e) preventing the business operator, directors, executives and employees from seeking benefits wrongfully by virtue of duty performance. 3 (3) notifying the

difficult or contentious matters or matters involving differences of opinion? - How does the firm monitor and support the EQr to ensure they can perform their review in a timely and efficient manner