secure, effective and efficient IT practices and IT usage in businesses. The update would also include requirements related to the information security audits and the qualifications of the auditor who must

fairness for all. Should there be any information or evidence of the SEC?s mistakes, we would appreciate being informed promptly. ?Despite criticism, we will continue to exercise absolute impartiality

shareholder meeting in key company decisions. The chapter also deals with disclosure of control structures, such as different voting rights. New issues in this chapter include the use of information technology

diversity of perspectives to generate effective challenge, discussion and objective decision-making. 3.2 Diversity The board should disclose the company’s policy on diversity which should include measurable

the independence and objectivity of credit rating operations; Transparency and timeliness of ratings disclosure CRAs should make disclosure and transparency an objective of their ratings activities; and

conflicts of interest arising due to the relationships that may compromise or appear to compromise the independence and objectivity of credit rating operations; Transparency and timeliness of ratings

incentivise financial flows towards sustainable development. These incentives can include fiscal and prudential policies in the main, but non-financial approaches should also be considered where viable. KSI 4

. This time, SEC establishes the regulations concerning related businesses for applicants requesting operating licenses. Such businesses include standards for operating businesses and work systems

For greater transparency and fairness of the allocation of initial public offering (IPO) or public offering (PO) securities, the SEC approved draft rules prohibiting the allocation of IPO/PO

ปรึกษาการลงทุนทราบ · (ข) หลักปฏิบัติในการให้คำแนะนำอย่างเป็นอิสระ (independence and objectivity) ( (ค) หลักปฏิบัติในการปฏิบัติต่อลูกค้าประเภทเดียวกันอย่างเท่าเทียมกัน (fair treatment) · (ง) หลักปฏิบัติใน