Providing Compliance Unit of an Intermediary
Providing Compliance Unit of an Intermediary
performance of duties, interfering with investors? assets in concealment and creating false evidience in violation of or non-compliance with the notifications of the Capital Market Supervisory Board concerning
not to allow investment consultants to make investment decisions for them. In case of assigning other persons to send trading orders on investors’ behalf, a written authorization is required. In any
authorization before beginning any other activity.The SEC therefore proposes to amend the rules governing the undertaking of other businesses according to the resolution of the Capital Market Supervisory Board
Special Extension for Approved Status of Auditor, Financial Advisor and Compliance
การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง head of compliance
orders of derivatives and shares in large volumes without the client’s authorization. When the client’s account suffered a large amount of loss, {A} tricked the client into depositing more cash into the
case of concerns of doubtful events, investors should contact the compliance unit promptly. In any case, investment consultants must accept trading orders from the account owners or the persons who
คุณสมบัติของผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (head of compliance) (ทลธ. 36/2560)