profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.

is the contracting party to set up a mechanism for the management company or its delegate to examine or verify the correctness of the portion of income the fund received under the agreement and to

client is the same person as the one appearing in the documentation in support of the application, and verify the identification of the client, the beneficial owner, and the person controlling the

expenses, provided that the expenses are limited only to expenses relating to the business operation; (3) ten percent of the average annual income but not exceeding five million baht, provided that the

........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on

. Minority interest Total Shareholders’ equity Total Liabilities and shareholders’ equity The ………………………… securities company limited Income statement For month/year ending…………………………………. Assets (Unit:Baht

conformity to the following rules: (1) providing system for such arranging and keeping concisely, orderly and promptly to use or verify such stored things within a reasonable time; (2) the system as prescribed

this Notification: “Fee” means fee for the operation of a licensed business. “Income” means income derived from the operation of a licensed business. “Office” means the Office of the Securities and

verify such stored things within a reasonable time; (2) the system as prescribed in sub clause (1) shall be able to prevent: (a) improper modification, disappearance and destruction; (b) using and

ลูกค้า (KYC/CDD Process) เมื่อลูกค้าเปิดบัญชีหรือเริ่มทำธุรกรรมเป็นครั้งแรก รับทำธุรกรรม /เปิดบัญชี เกี่ยวข้องกับฟอกเงิน /ไม่ให้ความร่วมมือ verify ข้อมูลเพิ่มเติม (เฉพาะบางกรณี) ไม่ใช่ ใช่ identify