practices, and adhere to applicable laws; c) embody high standards of business ethics and oversee the implementation of codes of conduct that engender a corporate culture of integrity; d) oversee the
market confidence and business integrity, which in turn is essential for companies that need access to equity capital for long term investment. Access to equity capital is particularly important for future
UNOFFICIAL TRANSLATION “SEC Thailand is a recipient of Digital Government Awards 2020 and Honorable Mention of the 9th NACC Integrity Awards 2019” Office of the Securities and Exchange Commission 333
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
on prevention of conflicts of interest (“COI”) in managing a mutual fund as well as to monitor and oversee acts that may cause COI, unfair characteristic or cause unitholders to lose the interest that
compliance such as training etc. [M] o Providing an oversee system the operation of officer under the policy strictly [M] (Translation) -3- o providing an inspection and assessment of the sufficiency of policy
companies oversee and manage such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a
ควบคุมภายในที่เหมาะสม (Strengthen Effective Risk Management and Internal Control) หลักปฏบิตั ิ7 รักษาความน่าเชื่อถือทางการเงินและการเปิดเผยข้อมูล (Ensure Disclosure and Financial Integrity) หลักปฏบิตั ิ8