other persons from using their accounts to trade securities without their knowledge, and make sure that the documents of transaction confirmation are issued by the securities companies in charge. In
advancements to guard off criminals. We must extend our close collaboration and teamwork to make sure that our preventive measures on money laundering and fighting against financial support for terrorism and
such as chief executive officers, chief financial officers and chief accountants. This is to make sure that they understand their roles, duties and responsibilities from the start, as far as financial
test to make sure that the clients understand their own risk profile and receive appropriate investment advice before making an investment or a transaction. Clear and comprehensive disclosure of
commercial banks, insurance companies, issuers and relevant agencies. Their opinions and suggestions were taken into consideration to make sure that revised rules would not hinder fund raising and liquidity
paid up; “Stock Exchange” means the Stock Exchange of Thailand; “related person” means the related person under the Notification of the Capital Market Supervisory Board concerning the Related Party
make sure that they are truly issued by the banks or the asset management companies in charge, and to update their fund books (if any) in the following business day to prevent damage that may be caused
other past behaviors demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised to always verify transaction confirmation documents to make sure