สูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (head of compliance) (ทลธ. 36/2560) 5. ประกาศคณะกรรมการกำกับตลาดทุน ที่ ทลธ. 8/2557 หลักเกณฑ์เกี่ยวกับบุคลากรในธุรกิจตลาดทุน (ฉบับประมวล) 03/06/2557 01/07/2557
อย่างอื่นของผู้ประกอบธุรกิจสัญญาซื้อขายล่วงหน้า (ทลธ.80/2558) 02/12/2558 16/12/2558 รายงาน/แบบฟอร์มคณะกรรมการกำกับตลาดทุน คุณสมบัติของผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (head of
, derivatives exchange, securities clearing houses, central securities depositories, the SEC Office, and the Bank of Thailand, for the purposes of supervising and examining the financial position and risks of
as auditor in the capital market shall have the following characteristics: (1) having an audit quality control system which is sufficient and reliable for supervising its auditors’ work performance to
) of the Notification on Standard Conduct of Business shall include the following characteristics and shall comply with the Notifications of the Associations approved by the SEC Office: (1) supervising
; (3) re-assess and manage risks in case of changes to the processes and procedures and controls associated with information security, or changes of the outsourcee; (4) establish measures for supervising
and manage risks in case of changes to the processes and procedures and controls associated with information security, or changes of the outsourcee; (4) establish measures for supervising the outsourcee
a negligence of reasonable performance of duty in supervising persons under the line of command to refrain from violating or failing to comply with the laws governing securities and exchange or the
standards as stipulated by an association under the Office’s approval; (18) Performing the management duty in a manner that indicates a negligence of reasonable performance of duty in supervising persons