Head of Compliance
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
company, asset management company, derivatives business, and financial institution or commercial bank receiving approval to provide services). The SEC proposal also aims at raising significance of
การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง head of compliance