in this Chapter shall not be applicable to the following clients: (1) institutional investor; (2) ultra-high net worth or high net worth investor having status as a juristic person with a statement of
capital market products (if any). Chapter 2 Compilation and Assessment of Client Information __________________ Clause 6 In compiling and assessing client information according to Clause 30 of the
impact (identify numerical assessment results, if available), tendency or possibility of such risk. In addition, the Company may further clarify specific preventive measures that have mitigated such risks
the Office 4.1 Eligible applicants (a) In respect of training course or seminar, the organizer such as training institutes or securities companies shall be the person to submit application to the Office
4.1 Eligible applicants (a) In respect of training course or seminar, the organizer such as training institutes or securities companies shall be the person to submit application to the Office; (b) In
The Securities and Exchange Commission (SEC), represented by Ms. Winita Kultangwatana, Director of the Sustainable Development Department, participated in the 6th Annual ESG Assessment of Thai
procedures as specified in the notification. In this regard, Bitazza insufficiently provided the system to ensure that Bitazza could know and verify the true identity of its customers, including acquiring
experience in the field of function to be operated for the intermediary . In this regard, the counting of such experience may continuously extend from the experience in other businesses if the juristic person