believes that this Statement of Intent will aid the public and all capital market stakeholders to understand the SEC’s role and operations, and promote confident participants of the capital market. 2. Vision
as follows: (a) having the professional ethics of financial advisor, honesty, and integrity, being committed to going-concern operations, having understanding and being accountable to the public; (b
regulatory concern, both global & national level Responding to climate change focus Growing institutional and retail investors interest Shifting consumer preferences and embedding in business increasing global
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
also with its spirit. Engendering such a culture requires a whole- of-government effort to encourage firms to understand the business case for sound corporate governance. One participant pointed out that
and grasp new opportunities. Taking into account the costs and benefits of regulation, governments have an important responsibility for shaping an effective regulatory framework that provides for
of audit firms has been an ongoing challenge, as a result of high turnover rates, coupling with low interests in this profession. With this concern in mind, the SEC and the Association of Chartered
the Notification of the SEC Office regarding Approval of Auditors; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I
their investors, as well as other constituents of the company, have enough information to understand the drivers of, and risks to, sustainable financial performance. They recognize that they are