Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted
of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand
funds or clients under its management (cross trade), the transaction shall: (1) be proper for character, investment policy and the necessity for investment of the funds or clients , which the securities
case my application is incomplete and the SEC Office has already informed such incompleteness by e-mail, it is deemed that I entirely assent to such informed incompleteness as well as the period of time
between or amongst funds or clients under its management (cross trade), the transaction shall: (1) be proper for character, investment policy and the necessity for investment of the funds or clients , which
__________________________________________________ _____________________________________________________________________ 6. I/We affirm that the units of the NRI CIS will be offered entirely to non-retail investors, including institutional, high net
) distributing products or providing services to the state entirely; (d) selling products or providing services, either entirely or partially, to a private sector whereby such sale of products or provision of
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
ปฏิบัตินี้ ทั้งนี้ รายละเอียดดังกล่าวได้แก่เรื่องดังต่อไปนี้ (1) แนวทางปฏิบัติในการนำเทคโนโลยีมาใช้ในการทำความรู้จักลูกค้า (ก) การพิสูจน์ตัวตน (Identity proofing) (ข) การยืนยันตัวตน (Authentication) (ค) การ
processes to ensure that the client is the same person whose identity appears in the evidentiary documentation of an application for doing business transactions with the securities company , and verify the