client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources

case such person has already been approved by the Office and this application is filed due to change of position/power in management/independence, photocopy of identity card/census registration

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like

is using the online service; 2. the management company has an operating system to verify the identity of the investor; (d) security system for customer information and other important information

with a client. Such procedure should have adequate process to identify and verify client’s true identity in order to ensure that the client is the person appears on the documents referred to during the

institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired

for acceptable use of IT assets ; (3) in case of any change to the responsible person or unit, protection roles and responsibilities to relevant IT assets should be reviewed. Clause 16 IT assets

แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and

necessity prior to the end of such period of time. Clause 4. In the case where there appears later a change of any material information provided in the application filed with the Office, the securities