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
Detail Content Announcement of Signatory of the I Code Signatories to the I Code 1. Why become a Signatory to the I Code? The announcement to become a Signatory to the I Code would enhance adherence
, useful to the investors and prepared in compliance with international standards. In so doing, the SEC's operations comprise three perspectives, as follows: 1. Supporting accounting profession to be in line
Special Extension for Approved Status of Auditor, Financial Advisor and Compliance
การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง head of compliance
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange
any disgraceful record, and must comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with