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
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of
) ………………………………………………………… Location of head office ……………………………………………………………… …………………………………………………………………..…………………… Telephone number …………………….. Facsimile number ……………………….. Part 2: Category of an applicant □ A commercial bank under the
(English) ………………………………………………………… Location of head office ……………………………………………………………… …………………………………………………………………..…………………… Telephone number …………………….. Facsimile number ……………………….. Part 2: Category of an applicant
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
Governance Center. Assistant Secretary-General Waratchya Srimachand is the Head of this Division. 1.2 Market Intermediaries Division led by Assistant Secretary-General Paralee Sukonthaman. This
ตรวจสอบไดค้รบถว้น และเสนอรายงานต่อคณะกรรมการของผูป้ระกอบธุรกิจไดท้นัรอบการประชุมของคณะกรรมการ ซ่ึงมีค่อนขา้งจ ากดั 1.2 การขยายกรอบระยะเวลาการแจง้การแต่งตั้งและการส้ินสุดการแต่งตั้ง head of compliance ให
cases of corporate fraud; Supervising business operators to take care of investors with fair and reliability; Educating and warning investors to ensure they have sufficient knowledge for decision making
with applicable law and standards, and expecting and supervising business partners to respect human rights, social and environmental responsibilities, and treat their employees, staff, and workers fairly