order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably
intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably and trustworthy, the
establish transparent and fair membership criteria, which shall focus on the suitability, financial status, performances, readiness, capability and professional codes of ethics of the applicants. Clause 15 A
fundamentals which should be included in individual CRA codes of conduct, and the elements contained in the IOSCO CRA Code should receive the full support of CRA management and be backed by thorough compliance
’ study on rules, regulations, codes of conduct, and relevant law. In case such investor contact also obtained approval to be derivatives investor contact, the syllabus of the training, activities, or
based on integrity and codes of conduct in the following areas: 1.1.1 Daily routine operation and decision making; 1.1.2 Treatment of trade partners, clients and other parties. 1.2 Following written rules
characteristics that is likely to cause damages to investor or client, the derivatives trading system or the overall capital market: (a) seriously lack of business codes of conduct; (b) lack of sufficient
mechanisms and regulation. The following Code of Conduct Fundam 4 These measures are the fundamentals which should be included in individual CRA codes of conduct, and the elements contained in the IOSCO CRA
บัญชีมีระบบการควบคมุคุณภาพงานสอบบัญชี จากรายงานการประเมินมาตรฐานดานบัญชีและการสอบบัญชี (the Reports on the Observance of Standards and Codes (ROSC) Accounting & Auditing modules, April 2008) จัดทําโดย