person. And shall not disclose inside information for any personal gain. Clause 13. Securities company shall make an affirmation on securities trading to their counter trader in writing in due time after

. Securities company shall make an affirmation on securities trading to their counter trader in writing in due time after making a deal. Clause 14.10 Securities company shall report securities trading

securities trading to their counter trader in writing in due time after making a deal. Clause 14.10 Securities company shall report securities trading information to Thai Bond Market Association as rules

broker shall conduct customer due diligence for time to time and shall require to update customer’s information, beneficial owner and controlling person of the customer as well as review debt repayment

derivatives trading account shall contain at least the materials specified in the notification of the SEC Office. Clause 25. 13 Derivative broker shall conduct customer due diligence for time to time and shall

derivatives trading account shall contain at least the materials specified in the notification of the SEC Office. Clause 25.13 Derivative broker shall conduct customer due diligence for time to time and shall

3.2 กระบวนการรู้จักลูกค้าและการตรวจสอบเพื่อทราบข้อเท็จจริงเกี่ยวกับลูกค้า (Know-Your-Customer/ Client Due Diligence : KYC/CDD ) ( บล. ต้องทำ KYC/CDD โดยระบุให้ได้ถึงบุคคลที่ได้รับประโยชน์และบุคคลที่มี

fund manager shall be submitted at least thirty days prior to the last date of the calendar year the refresher course under Clause 9 (1) is due; (4) paying for application fees as prescribed by the

fund manager shall be submitted at least thirty days prior to the last date of the calendar year the refresher course under Clause 9 (1) is due; (4) paying for application fees as prescribed by the

qualified to be fund manager shall be submitted at least thirty days prior to the last date of the calendar year the refresher course under Clause 9 (1) is due; (4) paying for application fees as prescribed