previously obtained. In this regard, the frequency in reviewing shall depend on the level of client’s risk; (2) review client’s existing records and gather further information, if it is found that or there is
-01-06_0589333489.pdf records. The order was issued after KC announced via the SET Electronic Information System on 29 December 2016 that the company’s Board of Directors had found that the liabilities
documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and
either in the form of documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given
Exchange Commission No. SorThor. 2/2549 Re: Preparation and Keeping of Information Relating to Derivatives Trading _____________ By virtue of Clause 11, Clause 14 and Clause 24 of the Notification of the
(Thai/English), date of birth, citizenship, sex, marital status, father’s name/mother’s name, (former) titles, (former) surnames, name of spouse, etc. Contact information: Information for contact purposes
Trust Information technology Approved Personnel and -------------------------- Sub-topic ------------------------- Securities Issuance Takeover Approval Mutual Fund Private Fund Provident Fund Venture