Preserve Market Fairness and Transparency, Understand Industry, and be a Firm and Fair Regulator [ MESSAGE FROM THE CHAIRMAN ] (Mr. Somk id Ja tus r ip i t ak ) Cha i rman [ Message from the Chairman ]4
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
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
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
BTS Group Green Bond Presentation Disclaimer Investment involves risk. Prospective should understand the characteristics of Securities and study information about BTS Group Holdings Public Company
employees understand their responsibility for appropriate behaviour. There should be appropriate board level and staff training in all aspects relating to corporate culture and ethics. Due diligence and
beneficiaries, and any issues of intergenerational fairness between them as well as where the ultimate risk-bearing lies within the institutional investor. The ICGN has summarised the key obligations of
Capital Market to Ensure Efficiency, Fairness, Transparency and Integrity”, under which it is entrusted with 4 major policy objectives : (1) maintain fairness in the financial market, (2) develop and
and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct its business