, competency, honesty and working experience. Clause 29 The licensee to undertake securities business in the category of securities brokerage, securities dealing or securities underwriting in investment units 10

integrity and honesty; (2) Perform duties by using knowledge and expertise as professional and treat all investors with fairness, care, prudence and in the best interest of investors. (3) Disclose or provide

the obligor (e.g., government regulators) regarding supervisory matters should be separate from the employees that participate in taking credit rating actions or developing or modifying credit rating

level of the Company and subsidiaries to be consciousness and values in working with honesty, transparency, clarity and verifiability without any actions constitute to corruption directly and indirectly

to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

company to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

as follows: (a) having the professional ethics of financial advisor, honesty, and integrity, being committed to going-concern operations, having understanding and being accountable to the public; (b

333/3 Viphavadi Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel: +66 1207 or +66 2695 9999 Fax: +66 2695 9660 e-mail: info@sec.or.th BU I L D ING BR IDGES INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 BUILDING BRIDGES Securities and Exchange Commission, Thailand Securities and Exchange Commission, Thailand Contact Information  This report is available for download on the SEC website: www.sec.or.th  For more information, p...

Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary....................................................................................02 Quality Assurance Review Panel........................................03 Activities for Enhancing Financial Reporting Quality.................................................................................................07 Summary of Audit Inspection Results A. Firm-Le...

THAILAND CORPORATE ESG DISCLOSURE LISTED COMPANIES AND RECOMMENDATIONS FOR POLICY DEVELOPMENT Prepared by Robert Black, Dr Rory Sullivan, Ella Harvey and Chup Priovashini (Chronos Sustainability) May 2022 THAILAND CORPORATE ESG DISCLOSURE Contents Foreword from SEC Thailand ..................................................................................................................... 3 Foreword from World Bank ...................................................................................