person shall be registered as a qualified fund supervisor – for the benefit in considering the registration of such qualified fund supervisor, the Office of the Securities and Exchange Commission hereby
account of a customer; (b) profit or any other benefit resulted from derivatives transaction for the account of a customer; (c) warehouse receipt, bill of lading, or any other instruments which represent
board should apply high ethical standards. This should be supported by a code of ethics that is disclosed by the company. Independent board members should review and oversee decisions on matters likely
given to human capital development for the benefit of national development. The SEC will also support the allocation of more funds to businesses that prioritize sustainability and benefits to the national
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
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
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