In addition, there will be three director-level switches, namely:  1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management

follows: (1)      Implement a policy on fintech application at board or executives level ; (2)      Have persons understand the basic principles of technology usage;(3)      Allow fund managers or

asset rules, investment rules with higher level of diversification and reclassifications of funds to better reflect investment risks on the basis of exposure to net asset value instead of investment value

suitability test. Due to their high level of sophistication, the institutional clients are considered capable of doing self-assessment; however, they may wish to opt in the coverage of suitability test in order

and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of

and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the compliance unit to the SEC

with the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the

with the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the

ผู้ประกอบธุรกิจตามแบบรายงาน Risk Level Assessment ("รายงาน RLA") โดยต้องจัดส่งรายงาน RLA สำหรับปี 2566 ครั้งที่ 1 ภายในวันที่ 31 กรกฎาคม 2566ซึ่งต่อมา KWI ได้จัดส่งแบบรายงาน RLA สำหรับปี 2566 ครั้งที่ 1

operations of Dao Securities (Thailand) Public Company Limited (“DAOLS”), was required to ensure that DAOLS performed its duties with the level of care and diligence expected of a professional in safeguarding