are reliably and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct
consideration of a fee or other remuneration excluding the giving of advice to the public in the manner as specified in the notification of the SEC. "securities underwriting" means the underwriting of all or part
must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of integrity and honesty and without any disgraceful record, and must
such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a professional. Clause 3 In managing
interest of the business and all shareholders. Such descriptions should enhance investors’ understanding of the overall business operation the Company or the group of companies. 2. Nature of business In case
will be ready, and such personnel shall have knowledge, abilities and experience appropriate for the nature of the responsible jobs and shall have integrity, honesty, professional ethics, fundamental
13. In perform of duties as a derivatives broker for customer, derivatives broker shall (1) Perform duties with integrity and honesty, consider and maintain the best interest of the customer. (2) Treat
standards of conduct: (1) perform duties with 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
-2033-9660 27 January 2021 Attention: President of the Association of Thai Securities Companies President of the Association of Investment Management Companies Managers All securities companies All
Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics