qualifications, has a prohibited characteristic, performs duties defectively, or fails to comply with the rules, standards or work ethics specified for the regulated person. The SEC or other regulators may impose
Duties Performing the duties with accountability, using knowledge, competency, experience, prudence and care in carrying out the tasks professionally; Upholding professional code of ethics; Preparing
as an auditor in the capital market with the SEC. In addition, the misconduct of these persons has been submitted to the Ethics Committee of the Thailand Federation of Accounting Professions under
adopt standard codes of ethics and provide quality services for clients? best interest,? Mr. Rapee concluded. The Strategic Plan 2018-2020 focuses on development in five key areas as follows: 1. Wealth
. Post-Approval Duties Complying with the specified rules: performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other
specified rules: performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other additional regulations prescribed by the law governing
the audit quality control system, and closely monitored the COVID-19 pandemic situation to adjust the oversight approach and communication with stakeholders to meet the changing situation. In so doing
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
already been appointed for more than 3 terms or 9 years. Besides, progress on anti-corruption policy will also be monitored for the 2nd year (continued from 2014). Vorapol Socatiyanurak, SEC Secretary
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