determination of margin sufficient to cover derivatives positions which may be caused by the defaulting member under the confidence level of not less than ninety-nine percent; 3 (4) conduct of adequacy test of
can motivate listed companies to build their competitiveness particularly by conducting business with ESG focus. On the investor side, the Thai ESG Fund is a vehicle for building sufficient
: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to take sufficient measures
financial position and investment knowledge. In addition, the company failed to take sufficient measures to identify the clients and the true beneficiaries and did not reconsider appropriate credit lines for
transaction of securities dealing with a client , a securities company shall specify a procedure and method for the Know Your Client & Client Due Diligence (KYC/CDD) in writing whereby there shall be sufficient
a procedure and method for the Know Your Client & Client Due Diligence (KYC/CDD) in writing whereby there shall be sufficient processes to ensure that the client is the same person whose identity
a juristic person, the directors or partners of such juristic person shall also not have the prescribed prohibited characteristics thereof; **(4) having sufficient readiness for providing services and
of such juristic person shall also not have the prescribed prohibited characteristics thereof; 5 **(4) having sufficient readiness for providing services and ensuring that the services provided to
have personnel with knowledge, capability or experience that can be of use in the undertaking of derivatives broker business, sufficient to efficiently undertake derivatives business. Clause 10