relevant professional standards and ethics. It also strengthens audit firms and promotes their sustainable growth. In any case, audit work cannot be accomplished by the auditor alone; it requires an audit
trading prices. Although the Thai BDC is a rule maker on ethics, practices and standards in the secondary market of debt instruments as well as supervises traders, it does not do much in terms of market
unethical but also subjected to legal actions. The SEC requires all staff to strictly follow the code of ethics. Moreover, they must attend the ethical training course to ensure their clear understanding and
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
; (5) Having passed the fundamental knowledge examination on the subjects of securities and exchange laws, the relevant rules and regulations and professional ethics and standards, which is administered
; (5) Having passed the fundamental knowledge examination on the subjects of securities and exchange laws, the relevant rules and regulations and professional ethics and standards, which is administered
establish transparent and fair membership criteria, which shall focus on the suitability, financial status, performances, readiness, capability and professional codes of ethics of the applicants. Clause 15 A
. If an examination on ethics was not required for the entrance application, the applicant must pass such examination this time. ✓ ✓ ✓ (UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval
มีการจัดทำ code of ethics ตัวอย่างที่ดี - เปิดเผยว่าบริษัทมีการจัดทำ code of ethics โดยมีหัวข้อหลักอะไรบ้าง กำหนดวิธีปฏิบัติงานอย่างไร และบริษัทได้มีการสื่อสารให้กรรมการและพนักงานทุกคน
ethics and professional standards. In this regards, the compliance officer and compliance unit shall be independent from other units: (b) determine the annual inspection plan which is approved by the board