anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this Notification, the anti-money laundering legislations
6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this
invest in SSF regularly throughout the year to create a savings discipline for financial well-being,” said SEC Secretary-General Ruenvadee Suwanmongkol.Several asset management companies have already
the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associated companies being operated or to be operated, as the case may be. In this
required to sumbmit such attachments to the Stock Exchange of Thailand (SET) as well. - 3 - SEC Classification : ใชภ้ายใน (Internal) Part 1 Business Operation and Operating Results 1. Organizational
the company to rectify its financial condition to comply with the net fund maintenance rules as well as solve the issue of its improper and inadequate management and personnel structures and the case
investment goals. This may lead to multiple financial products in the investors' portfolios but insufficient solutions to the investors' long-term financial well-being. The SEC is proceeding with a strategic
investment goals. This may lead to multiple financial products in the investors' portfolios but insufficient solutions to the investors' long-term financial well-being. The SEC is proceeding with a strategic
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
arrange for its clients’ withdrawal of assets at all times, contact the clients to return their money and digital assets, as well as transfer the money and digital assets according to the clients’ intention