used in legal proceeding in case of violation. Whistleblower protection ●  Any employee or worker who provides information or cooperation by giving a tip, testifying or submitting useful documents for

abreast of developments and emerging risks, conflicts of interest management in capital market, auditor's independence, auditing standards, credit rating agencies, sell-side analysts, and hedge fund. - The

abreast of developments and emerging risks, conflicts of interest management in capital market, auditor's independence, auditing standards, credit rating agencies, sell-side analysts, and hedge fund. - The

Exchange Act (SEA), which prescribes international standard structure, transparency and independence of the SEC Board by separating the roles and responsibilities of Chairman from those of Secretary-General

, goals and strategies, supervision and monitoring of the SEC's operation, and board-level evaluation The SEC Office Code of Governance specifies the following requirements: Legal compliance   Independence

account, pay-in slip, transfer-deposit-withdrawal slips, statement report, solicitation documents/contracts, and a certified copy of personal checks and other evidence relevant to and useful for the SEC

กรรมการตรวจสอบซ่ึงเป็นคณะกรรมการอิสระ (independence) และแต่งตั้งโดยคณะกรรมการ ก.ล.ต. จ านวนไม่นอ้ยกวา่ 3 คน แต่ไม่เกิน 5 คน โดยในจ านวนน้ีตอ้งมีกรรมการผูท้รงคุณวุฒิในคณะกรรมการ ก.ล.ต. อยา่งนอ้ย 2 คน2 (2