clients (on-going KYC/CDD). Clause 9. In conducting the KYC/CDD process pursuant to Clause 8, securities company is required to perform the following:- (1) identify the client’s true identity (client

following:- (1) identify the 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

rules for giving of investment advice and providing service related to trading of investment units, mutatis mutandis, except the case where specific requirements have been specified in this Notification

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

) “specific advice” means investment advice given to any person which is suitable to the investment objective, financial status, or requirements of such person. Chapter 1 Operational Control _____________

CONTENTS Page I. IDENTITY OF DIRECTORS, SENIOR MANAGEMENT AND ADVISERS .......................... 5 II. DESCRIPTION OF MTN Program

or should have been known, but not exceeding two years from the effective date of registration statement.” แบบ 69-FD 2 CONTENTS Page I. IDENTITY OF DIRECTORS, SENIOR MANAGEMENT AND ADVISERS

Identify the law applicable to the debt securities being publicly offered and/or listed. II. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on

points of the criteria can be summarized as follows:  Banks are allowed to conduct customer identity verification either in-person or remotely via the National Digital ID Platform (NDID).  To verify

securities company under the law on securities and exchange(SC); □ A life insurance company under the law on life insurance business; □ A financial institution established under specific law according to the