investment scheme, securities company shall proceed to examine investor’s qualifications at least as follows: (1) arranging investor to self-declare identity; (2) requesting information and documents
hours of the securities company. (2) publicize or disseminate the information on the implementation under (1) to the client; (3) disclose the redemption price to the client; (4) examine and supervise the
1 No. 3/2020 November 25, 2019 Re: Notification on the subscription of the newly issued shares in Thai Identity Sugar Factory Company Limited, a subsidiary of the Company Attn: The President of the
online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would be a person with
accordance with the form and procedure provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the
of the account, including identification of the customer’s identity, source of funds used for derivatives trading and the real beneficiary of the customer. Clause 19. Derivatives broker shall arrange
identity in order to ensure that the client is the person appears on the documents referred to during the account opening process. In this regard, the procedure should be in accordance with the guidelines of
related receipt and payment transactions, and the accounting records practice. The company was also required to examine the issue raised by the auditor whether the questionable transactions of land sales
for the Office or investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under