Providing Compliance Unit of an Intermediary
financial instruments and put in place effective regulations to ensure compliance, fairness, and prevent exploitation of stakeholders. As the market became more developed, new products were introduced and
Special Extension for Approved Status of Auditor, Financial Advisor and Compliance
การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง head of compliance
คุณสมบัติของผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (head of compliance) (ทลธ. 36/2560)
ขอเชิญเข้าร่วมการสัมมนาให้ความรู้เกี่ยวกับกฎหมาย Foreign Account Tax Compliance Act ("FATCA") และผลกระทบต่อสถาบันการเงิน
procedures as specified in the notification. In this regard, CoinsTH failed to appoint a new highest-ranking person taking responsibility in a compliance unit ("Head of Compliance") by the date
The live webinar features special lectures and CEO panel discussion to share views and experiences on business management in compliance with respect for human rights principles. The seminar agenda
care and adherence to good corporate governance, while prioritizing the best interests of shareholders.”
compliance unit (Head of Compliance) However, KWI appoint the highest level responsible person in the compliance unit on 5 September 2023. SEC Act S.113 Settlement Committee Meeting No. 3/2024 Settlement