การเตรียมความพร้อมเพื่อการประเมินการปฏิบัติตามมาตรฐานสากล Principles on Client Identification And Beneficial Ownership For The Securities Industry และ Anti-Money Laundering Guidance for Collective
(Form Dor Jor. 1-custodian), Monthly Net Capital Calculation Report (Form Dor Jor. 2), Information related to Service Provision Quality and IT Usage Capacity, Customer Identification Data, Customer Wallet
information was insufficient for identification or verification.In addition, as the head of the company's Anti-Money Laundering Committee, he failed to take action when certain clients ordered transactions
: ...............................) This executive summary is part of the registration statement and prospectus registered with the Office of the Securities and Exchange Commission. This executive summary contains brief information of the
applicant shall submit an application accordingly to Chapter 2 of Part 1 and comply with Part 2; (2) in relation to the submission of the registration statement, the applicant shall submit the said document
Trust invests into sub- leasehold right and the Company will terminate sub-lease agreement of land and building in Bangkok Free Trade Zone (“BFTZ”). As the Company sub-leased part of land and building in
being representative of such person, and so on: O yes (please specify in detail) …………………………; O no; 1.3 Working in the position applied for approval: O full time O part time 2. Personal information in
, such as being representative of such person, and so on: O yes (please specify in detail) …………………………; O no; 1.3 Working in the position applied for approval: O full time O part time 2. Personal
Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited