offered for sale in comparison with other mutual funds or collective investment schemes in the same investment policy under the Notification on Standard Conduct of Business shall not apply. Clause 5 The SEC
investigative expenses. Regarding auditor oversight, the SEC will keep the record of the misconduct of Warot, Jeeranan and Jeeraporn for 10 years for future consideration if the three offenders apply for approval
ให้เหมาะสมกับสภาพทางธุรกิจ (apply or explain) โดยหากเรื่องใดที่คณะกรรมการพิจารณาด้วยความรอบคอบและระมัดระวังแล้วเห็นว่า ยังไม่เหมาะสมที่จะนำไปปรับใช้ ก็ให้อธิบายเหตุผลหรือมาตรการทดแทน และบันทึกไว้ใน
accordance with the rules and procedures prescribed by the Office. The provisions under the first paragraph shall not apply to the investment advisory company licensed to operate other type of securities
licensed to undertake commercial bank businesses under the laws governing commercial banks or life insurance businesses under the laws governing life insurance, as the case may be, apply for the registration
shall ensure that the identification document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and
document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and intensity of the procedures mentioned in
, and apply the scope and intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis