management of potential conflicts of interest, such as those which may arise around related party transactions; e) oversee the integrity of the company’s accounting and reporting systems, its compliance with
for Submitting Information or Documentation _________________________ Clause 5 The submission of information or documentation to the SEC Office shall be in compliance with the following rules. In this
understand thoroughly the benefits and impacts of the globalizing trend on the business sector, the financial sector and the real sector. It was also indispensable that all sectors concerned strengthen their
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
established in conformity with relevant laws; appoint a trust manager; prepare a trust property account in segregation from a trustee account; ensure that the units are not allocated to investors who are not
คุณสมบัติของผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (head of compliance) (ทลธ. 36/2560)
shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain
operation system shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment