Head of Compliance

การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง head of compliance

คุณสมบัติของผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (head of compliance) (ทลธ. 36/2560)

shall perform only the following duties: (1) acceptance of request from customer to open an account so as to forward the request to a branch office or head office for approval; (2) acceptance of purchase

account so as to forward the request to a branch office or head office for approval; (2) acceptance of purchase and sales orders for investment units including acceptance of payment for subscription or

agencies for mutual funds, securities registrars; 6. Head Front/Investment (deputy managers or equivalent positions/assistant managers or equivalent positions/ departmental directors or equivalent positions

million baht at the head office for at least one year as from the closing date in a manner that the offeror would be able to promptly present to the SEC Office upon request. Clause 4 The issuer of

evidentiary documentation or information supporting the reason for allocating shares to any person in the value more than 100 million baht at the head office for at least one year as from the closing date in a

documentation or information supporting the reason for allocating shares to any person in the value more than 100 million baht at the head office for at least one year as from the closing date in a manner that

/05/2563 วันที่ตอบ : 07/05/2563 คำถาม :  ผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (Head of compliance) ถือเป็น