Providing Compliance Unit of an Intermediary
policy(2) Preparing consent forms(3) Selecting and implementing appropriate security safeguards such as access control(4) Producing and managing “Record of Processing Activities (ROP)” that will used to
investment by country and instruments / and compliance with the law and the rules and regulations. Information on the supervision of ThaiBMA: Directors, executives of the company, and the contact persons of
organizations that participate in projects Consent basis/Contract basis/ Legitimate interest basis Promotion of knowledge and sending news via email to subscribers, preparing pictures and news of activities of
Information on registered capital/paid-up capital of asset management companies Information on unitholders (MPF7000) Unitholders Public task basis Information on consideration of complaints and compliance with
Special Extension for Approved Status of Auditor, Financial Advisor and Compliance
การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง head of compliance
/branch managers or equivalent positions)/Head Back/Compliance/Risk (deputy managers or equivalent positions/assistant managers or equivalent positions/departmental directors or equivalent positions/Head
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities