persons and general investors applies the same rules. In addition, the issuing companies must ensure that subscribers through any channels such as website or telephone, obtain executive summary or factsheet
-called Know Your Customer (KYC)/ Customer Due Diligence (CDD) rules and to report suspicious transactions. Moreover, in cooperation with securities business operator, the SEC sets up standards and
information, document or evidentiary documentation, an intermediary shall operate conformity to the following rules: (1) providing system for such arranging and keeping concisely, orderly and promptly to use or
duty to undertake and be liable for arranging and keeping information, document or evidentiary documentation in accordance with the rules as prescribed in sub clause (1) and (2); (4) keeping such stored
based on integrity and codes of conduct in the following areas: 1.1.1 Daily routine operation and decision making; 1.1.2 Treatment of trade partners, clients and other parties. 1.2 Following written rules
Company Limited Factsheet Information as of XX XX XXXX ABCD Mutual Fund Unit Class SRI Fund Class code Type of mutual fund / Peer group of mutual funds Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile
, derivatives intermediary or life insurance company whether established under Thai or Foreign law. “ payment information management for securities trading ”5 means services relating to collecting, organizing and
support system provider; (5) service provider managing payment information for securities trading approved by the SEC office on conditions, rules and procedures specified by the Office; 4 Repealed by the