Head of Compliance
Providing Compliance Unit of an Intermediary
, and our commitment to implementation consistent with our role and fiduciary responsibilities: Principle 1: Adopt a clear written Investment Governance Policy. Principle 2: Properly prevent and manage
declares our adoption of the following Principles set out in the I Code issued by the Securities and Exchange Commission of Thailand, and our commitment to implementation consistent with our role and
oversight procedures are consistent. The MOU also prioritizes information sharing for mutual best interest. The signatories aim to support human resource development in the financial sector and educate
pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
Special Extension for Approved Status of Auditor, Financial Advisor and Compliance
การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง head of compliance