or Section 145 or in accordance with the provisions of other laws; (5) Being subject to receivership by a court order; (6) Being an incompetent or quasi-incompetent person; (7) Being a person whose
on the effectiveness of clients’ KYC/CDD measures and controls in case of omnibus accounts, or closely monitoring of clients’ transactions. Clause 16. Notwithstanding the provisions in Clause 15
provisions in Clause 15, securities company may apply a reduced KYC/CDD process should the client have the following quality (reduced KYC/CDD):- (1) information on the client’s true identity, including his
. Notwithstanding the provisions in Clause 15, securities company may apply a reduced KYC/CDD process should the client have the following quality (reduced KYC/CDD):- (1) information on the client’s true identity
certain provisions in relation to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43 and Section 45 of the
Derivatives Act B.E. 2546 (2003) which contains certain provisions in relation to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 36
of the Securities and Exchange Commission. Chapter 1 Scope of the Provisions Clause 3. This Notification shall not apply to the appointment of a fund manager who makes decisions to invest or dispose of
institutes accepted by the Office; “Office” means the Office of the Securities and Exchange Commission. Chapter 1 Scope of the Provisions Clause 3. This Notification shall not apply to the appointment of a