preventing wrongful acts that may cause damage to securities issuers or securities holders will be put in place. Clause 4 The application for a license under Clause 3 shall be submitted together with the
unethical but also subjected to legal actions. The SEC requires all staff to strictly follow the code of ethics. Moreover, they must attend the ethical training course to ensure their clear understanding and
Principles of Corporate Governance - G20 version G 20/O E C D P rin c ip le s o f C o rp o ra te G o ve rn a n c e G20/OECD Principles of Corporate Governance ENG_Corporate Governance Principles_Cover.indd 3 27-Aug-2015 6:43:10 PM G20/OECD Principles of Corporate Governance OECD Report to G20 Finance Ministers and Central Bank Governors September 2015 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 3 Note by the OECD Secretary-General G20 Finance Ministers and Central Bank Governors Meet...
through appropriate sanctions that (1) prevent the offender from profiting from wrongful acts (disgorgement), (2) penalize the offender (discipline), (3) discourage misconduct, and (4) inform the public of
to prevent the employees from using inside information they have become aware of as a result of duty performance to seek wrongful gains; (3) requiring the employees to notify the intermediary in the
immoral or illegal business. Accordingly, [the applicant shall demonstrate for ensuring that] the REIT would be entitled to terminate the lease agreement if it appears that the leasee uses its real estate
and the Audit Committee, which covers deficiencies, significant changes on the internal control system, and wrongful acts that may affect the preparation of financial reporting of the Company and the
system as of _ DATE MONTH YEAR __to the auditor of the REIT, which covers deficiencies and significant changes to the internal control system as well as wrongful acts may affect the financial reporting of
นาไปสู่การประพฤติที่ผิดกฎหมาย หรือขาดจริยธรรม (unethical conduct) 2.2.5 คณะกรรมการควรกากับดูแลให้มีการถ่ายทอดวัตถุประสงค์และเป้าหมายผ่านกลยุทธ ์ และแผนงานให้ทั่วทั้งองค์กร 2.2.6 คณะกรรมการควรกากับดูแล