qualifications, has a prohibited characteristic, performs duties defectively, or fails to comply with the rules, standards or work ethics specified for the regulated person. The SEC or other regulators may impose
Duties Performing the duties with accountability, using knowledge, competency, experience, prudence and care in carrying out the tasks professionally; Upholding professional code of ethics; Preparing
as an auditor in the capital market with the SEC. In addition, the misconduct of these persons has been submitted to the Ethics Committee of the Thailand Federation of Accounting Professions under
adopt standard codes of ethics and provide quality services for clients? best interest,? Mr. Rapee concluded. The Strategic Plan 2018-2020 focuses on development in five key areas as follows: 1. Wealth
for the monitoring and enforcement of compliance by members with its rules and code of ethics in undertaking derivatives business. SECTION 58.2 A derivatives exchange shall take steps to ensure that its
for the monitoring and enforcement of compliance by members with its rules and code of ethics in undertaking derivatives business. SECTION 58. 2 A derivatives exchange shall take steps to ensure that
. Post-Approval Duties Complying with the specified rules: performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other
specified rules: performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other additional regulations prescribed by the law governing
. Clause 29. Filing of an appeal shall not be a cause of relief as to the enforcement of the administrative sanction. The appellant, however, may file a motion for relief together with the appeal and explain
relevant rules and regulations and professional ethics and standards, which is administered by an association or a training institute, for a period of time not exceeding two years on the date of submission