คุณสมบัติของผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (head of compliance) (ทลธ. 36/2560)

Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended

& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate

ขอเชิญเข้าร่วมการสัมมนาให้ความรู้เกี่ยวกับกฎหมาย Foreign Account Tax Compliance Act ("FATCA") และผลกระทบต่อสถาบันการเงิน

appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance

appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance

appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance

the ultimate shareholder(s) delegate or assign their authorization to the CFO? B4 How does the firm design its organizational structure that promotes quality, tranparency, and acting in the best

manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions

Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3