Competitiveness Code of Conduct and Code of Ethics The Board-Level Code of Governance specifies the following areas: Board Composition and Structure , for instance, nomination procedure, term of office and sub
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
morality, the SEC has the power to refuse registering the persons as directors of the association. When it is apparent that the board of directors, directors or members of the associations undertake any
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
procedures for keeping documents by the company secretary. The company therefore may use any effective procedure that also safely prevents unauthorized access, revision, change or destruction of such documents
procedures for keeping documents by the company secretary. The company therefore may use any effective procedure that also safely prevents unauthorized access, revision, change or destruction of such documents
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
regarding unfair securities trading activities. (7) not having the following prohibited behaviors; lack of professional ethics or violation of or non-compliance with the regulations
financial statement. Q: Does information disclosure according to the Securities and Exchange Act B.E. 2535 go against auditor's ethics as specified in the Accounting Professions Act? In case there is