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
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
intermediaries and personnel in the capital market to adopt standard codes of ethics and provide quality services for clients? best interest,? Mr. Rapee concluded.The Strategic Plan 2018-2020 focuses on
management business, but the Code will provide a clearer guideline for setting a responsible investment policy that will maintain a healthy balance between ethics and earning.?