หัวข้อ due diligence หน้า 1 บทนำ ในการจัดเตรียมข้อมูลของบริษัทมหาชนจำกัดเพื่อให้มีความพร้อมในการออกและเสนอขายหลักทรัพย์ต่อประชาชน ที่ปรึกษาทางการเงินจะต้องศึกษาข้อมูลของบริษัทที่ออกหลักทรัพย์หรือที่
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laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC
request and application fee ( Approval request fee of 50,000 baht due to the following cases: ( (1) First time request for approval (the applicant has never requested an approval before); ( (2) Request for
the securities company may reduce the expenditure for undertaking its business by using back office service from service provider and due to the criteria for undertaking securities business of
foreseeable future due to commercial operations. Chapter 3 Standards in Undertaking Derivatives Business Clause 7 The provisions in this chapter shall set the minimum standard for the performance of derivatives
period; (2) in case such person has been vacated from the approved position due to any cause other than being revoked the approval by the SEC Office such as the expiration of the term of office and such