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.
board of directors to better understand its roles of driving business toward fruitful results and reasonably applying technologies to business operation in line with the National Strategic Framework or
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
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 entirely understand the generally accepted
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
of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand
eliminating obstacles for issuing companies while maintaining proper protection and fairness in allotment of securities for investors. Also, rules on prevention of conflict of interest arising from securities