anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this Notification, the anti-money laundering legislations
6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this
of shareholding structure, whereby all legal entities in such group have relationship with each other as parent company or subsidiary company, or each legal entity in such group is held by the same
of shareholding structure, whereby all legal entities in such group have relationship with each other as parent company or subsidiary company, or each legal entity in such group is held by the same
group of legal entities having relationship in respect of shareholding structure, whereby all legal entities in such group have relationship with each other as parent company or subsidiary company, or
common control with another entity. performs analytical functions that are necessary for the issuing or monitoring of a credit rating or participates in determining credit ratings, including an employee
structure. 5. Management benefit expenses For Quarter 1 of the year 2020, the management benefit was 2.97 million baht compare to 3.32 million baht, decrease by 0.35 million or 10.54% decreased because the
, finance, investor relations). If the organization has different business units, include representatives from each 2.1 2.2 3. Integrate climate change into the governance structure. Refer to the Series 1
-class investments ▪ Step 5: Review portfolio implications: ▪ Tracking error ▪ Style factors ▪ Step 6: Monitoring, reporting and audit Screens are often based on data, obtained from third-party providers
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system