procedure; (10) The Financial Institutions Development Fund; (11) The Government pension fund; (12) Mutual funds under the securities and exchange law; (13) Juristic persons with investment fund of Baht one
shall be sufficient measures to ensure that a client is the same person as the one appears on the application document, verify identification of the client, the beneficial owner and the person controlling
is found and shall record the cause of each correction. Clause 14 A securities company shall arrange for the counting of clients’ assets which are kept by itself at least once a month to verify the
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
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
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
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
each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall
available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
client regarding the risks and characteristics of the bonds to be invested, using either one or more of the following methods; (a) arrange for an employee who can give such information to the client to be