. Yayah Adnan Ahmad in the compliance unit to the SEC Office through a system prepared on the website of the SEC Office within 7 business days as from the occurrence of such circumstance. However, Krungthai
, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to a sufficient and effective compliance system which may cause serious damage to the benefit of the
) 10/2544 เรื่อง ขอความร่วมมือจัดส่งคู่มือการปฏิบัติงาน (Compliance manual) 06/02/2544 2. หนังสือเวียน ที่ กลต.นจ.(ว) 2/2560 ซักซ้อมความเข้าใจเกี่ยวกับการให้คำแนะนำแก่ผู้ลงทุนเพื่อประกอบการตัดสินใจ
Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology
secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
งานในการกำกับดูแลการปฏิบัติงานของผู้ประกอบธุรกิจสินทรัพย์ดิจิทัล (compliance) ไม่รัดกุมเพียงพอที่จะทำให้บริษัท บิทคับ สามารถประกอบธุรกิจได้อย่างมีประสิทธิภาพ กล่าวคือ ไม่กำกับดูแลให้ฝ่ายผลิตภัณฑ์ติดตาม
risk management capacity and lower potential disruption to the overall market in compliance with international standards. Essentially, the amendment would require that the senior management of securities
2018 in compliance with the rules specified in the notification of the Capital Market Supervisory Board as a result of his failure to order or act in accordance with duties required to be performed
statement (Form 56-1) for the year 2018 in compliance with the rules specified in the notification of the Capital Market Supervisory Board as a result of his failure to order or act in accordance with duties
56-2) for the year 2018 in compliance with the rules specified in the notification of the Capital Market Supervisory Board as a result of his failure to order or act in accordance with duties required