and efficient management of risks, in line with the good corporate governance principles. Provisions in the Notification No. Sor Thor. 37/2559 Clause 5 An intermediary shall establish a documented

with a client. Such procedure should have adequate process to identify and verify client’s true identity in order to ensure that the client is the person appears on the documents referred to during the

in Thai or English, and either in the form of documented information or electronic information. Clause 7. Derivatives broker shall keep the evidence relating to derivatives trading under the following

documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and

with Chapter 4; (5) additional rules in accordance with Chapter 5. Chapter 1 Governance of Enterprise Information Technology _________________ Clause 5 An intermediary shall establish a documented policy

ลูกค้า (KYC/CDD Process) เมื่อลูกค้าเปิดบัญชีหรือเริ่มทำธุรกรรมเป็นครั้งแรก รับทำธุรกรรม /เปิดบัญชี เกี่ยวข้องกับฟอกเงิน /ไม่ให้ความร่วมมือ verify ข้อมูลเพิ่มเติม (เฉพาะบางกรณี) ไม่ใช่ ใช่ identify

managing the client’s assets as prescribed under Clause 4(1), the SEC Office shall inspect and verify the client’s assets by taking the following actions: (1) inspecting the client’s assets under possession

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

at least once a month in order to verify the accuracy of the client’s asset account. For client’s assets that are not under its custody, the securities company shall set up a system to access an up-to

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