person qualified to be fund manager shall attend the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an
regulations as well as ethics and professional standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the
life insurance; (c) any other financial institution as prescribed by the SEC Office; (3) “professional code of ethics” means: (a) professional code of ethics established by the Federation of Accounting
after having been granted an approval. The required course shall be a refresher course relating to law on securities and exchange, applicable rules and regulations as well as ethics and professional
, regulations, ethics or relevant laws e.g.: (a) Rules and regulations concerning undertaking of securities businesses or compliance with the law governing securities and exchange such as the rules on the
securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules, regulations, ethics
Office of the Securities and Exchange Commission OrThor/Nor. 3/2542 Re: Code of Ethics for the Executives of the Securities Company 17/02/1999 6. Circular 2/2550 22/01/2007 7. Circular 4/2548
standards, ethics, and rules of the Notification of the Office of the Securities and Exchange Commission concerning Approval of Auditors in the Capital Market as well as cooperate with the Office of the
engagement performance and responsibilities of the audit firm; 7. I will supervise engagement performance of the applicant to ensure that he or she comply with the professional standards, ethics, and rules of