services of information or as liaison office within the scope of this Notification. “auditor” means an auditor approved by the SEC Office under the Notification of the Office of the Securities and Exchange
shall ensure that the identification document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and
document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and intensity of the procedures mentioned in
, and apply the scope and intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis
suitable to the business at that time by presenting that transactions in financial statements exist, complete, correctly show the rights or obligations of the company, have the right value as well as
written policy, scope, or definition of work to be outsourced, with approval, whether on a general or case-by-case basis, of the board of directors or the working group assigned by the board of directors
receiving requisition of investment unit redemption, the scope and limitiation of appointment shall be in accordance with the following rules: (1) in case of investment units in category of gold ETF , the
, the scope and limitiation of appointment shall be in accordance with the following rules: (1) in case of investment units in category of gold ETF, the appointment to be the agent in the Kingdom of