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
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
://www.sec.or.th/EN/Pages/AboutUs/SEC_krairit.aspx English (United States) SEC pornanong -committee on Consideration of Regulations on Supervision of Business and Market Intermediaries and member of the Sub
support is timely as the AARG seeks to speak with a unified voice to promote a high quality audit regime applied consistently across ASEAN.?Mr. Jarett Decker, Head of World Bank?s Centre for Financial
audit firms in the region which will result in enhancing the confidence in the capital market, in the quality and reliability of audited financial statements.?Mr Langgeng Subur, Head of PPPK (Indonesia
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
/05/2563 วันที่ตอบ : 07/05/2563 คำถาม : ผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (Head of compliance) ถือเป็น