type of the risky or complex capital market products for the first time, an intermediary shall examine the client’s investment knowledge in order to assess suitability before investing in or entering
without a doubt. Clause 18 In taking the actions under Clause 16 and Clause 17, a derivatives clearing house shall examine and ensure that its staff strictly complies with the applicable notifications and
, in addition to the action under the first paragraph, the mutual fund management company shall arrange for the mutual fund supervisor to examine and certify in writing that such transaction is in
appeal consideration shall examine an appeal. If [the department in charge of appeal consideration] considers that the appeal does not contain particular under Clause 20, it shall propose to the Secretary
paragraph, the mutual fund management company shall arrange for the mutual fund supervisor to examine and certify in writing that such transaction is in accordance with normal commercial practice similar to
Verify เพื่อให้ระบบตรวจสอบขอ้มูลก่อนส่ง (Simple Validation) ถำ้ไม่พบขอ้ผดิพลำดในขั้นตอน Simple Validation ระบบจะแสดงขอ้ควำม “Your selected report on ….. passed validation, please press submit to continue
ยงำน ในรูปแบบไฟล์ .xls, .xlsx เท่ำนั้น และคลิกปุ่ม “Upload” ❶ ❷ ❸ 8 2.9 เมื่อ upload แบบ บ.ล. 4/1 ส ำเร็จแล้ว ให้คลิกที่ไอคอน เพื่อส่งแบบรำยงำน 2.10 ที่หน้ำจอ “ส่งแบบรำยงำน” ให้คลิก “Verify” เพื่อให้ระบบ
at least once a month in order to verify the accuracy of the client’s asset account. For client’s assets that are not under its custody, the securities company shall set up a system to access an up-to
order to verify the accuracy of the client’s asset account. For client’s assets that are not under its custody, the securities company shall set up a system to access an up-to-date information in order to
shall be sufficient measures to ensure that a client is the same person as the one appears on the application document, verify identification of the client, the beneficial owner and the person controlling