shall have the duties as instructed by the AMLO, including: (1) set out a risk assessment policy or any guidance for the prevention of the financing of terrorism; (2) freeze the assets of the designated
that those personnel must be equipped with knowledge, capability and approved by the SEC. The business operators must apply necessary assessment procedures to ensure that their investment consultants
ของตนเองได้อย่างครบถ้วนและเป็นมาตรฐานเดียวกัน สำนักงานจึงได้จัดทำแบบประเมินตนเอง (Self-Assessment Questionnaire; SAQ)ในส่วนของเครื่องมือในการบริหารความเสี่ยงด้านการจัดการลงทุน เพื่อให้บริษัทจัดการกรอก
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
company shall not engage in any act which result in creating, altering, transferring, reserving or terminating the right in assets of any client, without or not comply with instruction or consent from the
in any act which result in creating, altering, transferring, reserving or terminating the right in assets of any client, without or not comply with instruction or consent from the client or client’s
% of net profit after deduct tax and statutory reserve. On April 23, 2019, the Annual General Meeting of Shareholders Year 2019 approved and deemed that to consent to propose to the shareholders for
and Exchange Commission) Consent Form for Personal Information Disclosure Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok 10900