Transactions in Capital Market B.E. 2550 (2007) . I hereby attach the following evidentiary documentation in support of my application: (1) Certification of the applicant; (2) Personal record and details of the
apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F Application for registration as a foreign auditor in the capital market. Signature of the applicant is required. (2) Applicant’s personal
personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
ทำความรู้จักลูกค้าในเชิงลึก (Client Due Diligence) (ง) การทบทวนข้อมูลลูกค้า (Ongoing / Enhanced KYC) (2) ระบบงานที่เกี่ยวข้องกับการนำเทคโนโลยีมาใช้ในการทำความรู้จักลูกค้า (ก) การบริหารความเสี่ยงด้าน IT (ข
personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the keeping of documents and evidences to be prepared for or used in
ทำธุรกรรม reduced KYC/CDD โดย identify & verify ตามแนวทางที่สมาคมกำหนด ลูกค้าที่ต้องให้ความสนใจเป็นพิเศษ ลูกค้าปกติทั่วไปยงกลาง เสี่ยงต่ำกว่าปกติ enhanced KYC/CDD โดย identify & verify ตามแนวทางที่
1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this
ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD process must be performed
to be a derivatives business operator in the category of derivatives dealer by a juristic person established under foreign law. 1. Personal Information of the applicant: 1.1 Name of applicant