investment for the client , the intermediary shall provide a system for controlling the client ’s assets to prevent being lost, damaged and unlawful exploitation; (10) having compliance system in accordance

, damaged and unlawful exploitation; (10) having compliance system in accordance with the Notification of the Capital Market Supervisory Board concerning Establishment of Compliance Unit of Intermediaries

course of operation; (b) seek information on the source of income used for executing the client’s transactions; (c) arrange for the client or the ultimate beneficiary to identify oneself to the official of

another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or affiliates, they may be presented in business groups; - In case

of the relationship with 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

agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are several subsidiaries or associated companies, they may be presented in

appropriately protected, the intermediary shall identify organizational IT assets and define proper protection roles and responsibilities. Provisions in the Notification No. Sor Thor. 37/2559 Clause 15 An

clients An intermediary shall compile [i] sufficient information relating to clients in order to identify the clients and [ii] other information for supporting its properly provided services; (10

subsidiary formed by a joint venture agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or associates

ensure that the IT asset management meets the following criteria: (1) identify persons or units responsible for each type of IT assets over the whole asset lifecycle; (2) establish the terms for acceptable