persons of the transactions when the accounts are opened or when the first transaction is processed in case where there is no account-opening (initial KYC/CDD) and on an on-going basis throughout the course
the accounts are opened or when the first transaction is processed in case where there is no account-opening (initial KYC/CDD) and on an on-going basis throughout the course of the relationship with
-going basis throughout the course of the relationship with clients (on-going KYC/CDD). Clause 9. In conducting the KYC/CDD process pursuant to Clause 8, securities company is required to perform the
during the course of business undertaking; (7) “ investor contact ” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment
; (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
นผูตดิตอกับผูลงทุน (refresher course) ตามหลักสูตร ของสถาบันฝกอบรม หรือตามหลักสูตรที่สํานักงานยอมรับ แตสําหรับแนวทางที่ประกาศใชใหมนี้ สํานักงานจะพจิารณาโดยใชหลักของการดาํรงความรูความสามารถสําห
งอยา่งสม ่าเสมอ โดยในกรณีของ head of compliance อยา่งนอ้ยตอ้งเขา้รับการอบรมความรู้ตามหลกัสูตรท่ีส านกังานเห็นชอบ (refresher course) ทุก ๆ 2 ปี เป็นตน้ 3. Head of compliance ตอ้งมีคุณสมบติัและประสบการณ์
No. ECF2 035/2562 23 September 2562 Subject Notification on the resolutions of the Board of Directors’ Meeting approving the purchase of the ordinary shares in KPN Academy Company Limited, the increase of registered capital, the issuance and the allocation of the newly-issued shares to specific persons (Private Placement) and the convening of the Extraordinary General Meeting of Shareholders No. 1/2019 (additional) To Director and Manager The Stock Exchange of Thailand Enclosure 1. Information M...
Mexico and France (formerly Performance Fibers), a leading producer of durable technical textiles for industrial, tire reinforcement, and specialty applica- tions. Glanzstoff also commenced single-end cord