Providing Compliance Unit of an Intermediary
attend and exercise voting rights at AGM was non-compliance with the law on public limited company.Earlier, the SEC received complaints stating that Chairman of the Board of Nation Multimedia Group Public
) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties
complicated, and for the most part the existing laws do not cover all new ways of committing an offense in the capital market. Legal provisions applied to some cases are unclear and open to interpretation
Special Extension for Approved Status of Auditor, Financial Advisor and Compliance
การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง head of compliance
คุณสมบัติของผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (head of compliance) (ทลธ. 36/2560)
ขอเชิญเข้าร่วมการสัมมนาให้ความรู้เกี่ยวกับกฎหมาย Foreign Account Tax Compliance Act ("FATCA") และผลกระทบต่อสถาบันการเงิน
permissible products are more complicated, risky and similar to those AIs have been allowed to invest domestically such as unrated bond and foreign sukuk. Moreover, all investors will have more investment
The live webinar features special lectures and CEO panel discussion to share views and experiences on business management in compliance with respect for human rights principles. The seminar agenda