trading behaviors that may indicate potential violations, as well as identifying patterns of fraud in listed companies and fraud monitoring methods. She also discussed the SEC's perspective on artificial
การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง head of compliance
คุณสมบัติของผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (head of compliance) (ทลธ. 36/2560)
, including the components, structure, and responsibilities of company boards, internal control systems for governance, as well as guidelines for monitoring and tracking transactions of listed companies and
; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices
for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices. In case of absent of the branch office manager under the first
; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices
operation unit with the head office or other full-service branch offices. In case of absent of the branch office manager under the first paragraph, the derivatives brokers shall arrange to have a new manager