ไปตามมาตรฐานสากลเกี่ยวกับ AML/CFT (Anti-Money Laundering and Combating the Financing of Terrorism) ตามข้อแนะนำของ FATF (Financial Action Task Force) สำนักงานจึงขอนำส่ง
securities company shall keep all related documents until the handling of such complaint was completed. In case where an advice or a negotiation is made by mean of telephone or via electronics, the securities
of telephone or via electronics, the securities company shall keep such record into recording tape or electronics recording appliance. Clause 19/1.23 24 25 In dealing with retail client, a securities
time, the securities company shall keep all related documents until the handling of such complaint was completed. In case where an advice or a negotiation is made by mean of telephone or via electronics
, and/or the Articles of Association of UAPC, or (b) additional compliance or any additional action of UAPC other than that would be required under the relevant laws or regulations regarding the issuance
) sets of the Co . TorChor. 2 n or Dispos nge of Thail g the Acquisi n or Dispos as the trans culated based action value, g 30 Septem there were n or to this tran ction, i.e., a t ed transaction es the
required to report violations or any significant abnormality to the person responsible for the information security incident management without delay; (3) put in place a disciplinary process to take action
company to take any action or omit any action as the SEC Office deems appropriate within a specified period: (1) the management of a mutual fund has the characteristic or form in accordance with the rules