guidelines of practice that is proper and in compliance with this Notification, with which conformity to be deemed as compliance with the relevant regulations under this Notification; 3 (3) to allow the SEC

care and adherence to good corporate governance, while prioritizing the best interests of shareholders.” 

compliance unit (Head of Compliance) However, KWI appoint the highest level responsible person in the compliance unit on 5 September 2023. SEC Act S.113 Settlement Committee Meeting No. 3/2024 Settlement

., Ltd. (ThaiWM / website: thaiwm.com).In addition, SEC is reviewing information of two other digital asset business operators that have applied for operating licenses, in conformity with the

management companies.Now, SEC has drafted regulations covering various topics, such as that investment management companies must present multiple investment policies, which must also be in conformity to the

management companies. Now, SEC has drafted regulations covering various topics, such as that investment management companies must present multiple investment policies, which must also be in conformity to

/05/2563 วันที่ตอบ : 07/05/2563 คำถาม :  ผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (Head of compliance) ถือเป็น

Compliance Unit ตั้งแต่วันที่ 1 มิถุนายน 2565 แต่จากการตรวจสอบพบว่า พนักงานรายดังกล่าวเริ่มปฏิบัติงานเป็น Head Compliance Unit เมื่อวันที่ 13 มิถุนายน 2565 อยู่ระหว่างการพิจารณาของพนักงานสอบสวน พ.ร.บ

Coins Th Company Limited Coins Th Company Limited ("Coins Th"), a digital asset broker and a digital asset dealer, is obligated to submit an annual compliance report to the SEC office

of conformity to this Notification, the transitional provisions shall be applied, as specified in details in Chapter 8. Division 4 Powers of the SEC Office _____________________________ Clause 5 For