; (6) “inside information” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired during the course of
sufficient clarity to enable the identification and assessment of risks relating to objectives. Questions Yes No 6.1 The company is able to comply with the generally accepted accounting principles which is
): ......................................................... ………………………………................................................................................................... 2. Identification Number: ............................................................................................................ CPA License Number
specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number _______ Country of issue of Passport Issued by Issued date Expiry date CPA license number Issued by
การเตรียมความพร้อมเพื่อการประเมินการปฏิบัติตามมาตรฐานสากล Principles on Client Identification And Beneficial Ownership For The Securities Industry และ Anti-Money Laundering Guidance for Collective
(Form Dor Jor. 1-custodian), Monthly Net Capital Calculation Report (Form Dor Jor. 2), Information related to Service Provision Quality and IT Usage Capacity, Customer Identification Data, Customer Wallet
information was insufficient for identification or verification.In addition, as the head of the company's Anti-Money Laundering Committee, he failed to take action when certain clients ordered transactions
comply with the law, related Notifications and professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the