สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) สนับสนุนการจัดอบรมในหลักสูตร “Compliance Officer เพื่อเสริมสร้างความรู้ความเข้าใจ และความคาดหวังในการปฏิบัติหน้าที่ของผู้กำกับดูแลการ
บริษัทหลักทรัพย์ไทย ที่ กลต.กธ.(ว) 35/2555 เรื่อง ขอเชิญเข้าร่วมการสัมมนาให้ความรู้เกี่ยวกับกฎหมาย Foreign Account Tax Compliance Act (“FATCA
sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such
inappropriateness regarding the sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business
compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4)3 being able to show that capital market personnel performing one of the following duties has
applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in compliance with law establishing such
operation of securities business in the category to be commenced including measure for controlling and monitoring the compliance with the policy and measures set in place; (c) operational system promptly for
ensure that all holdings are in compliance with the ratio and requirements set out in this Notification. Such necessary measure shall include the establishment of a monitoring system for the holdings or