minimum: 1. Security of IT assets ; - access control [Referring to Item 5]; - physical and environmental security [Referring to Item 7]. 2. Information management and confidentiality: - asset classification
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
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
standard for a Non-Publicly Accountable Entities, such securities company may prepare financial statements following expense classification by function form - single layer, according to the Notification of
classification ให้อ้างอิงข้อ 72 25 การแบ่งแยกบทบาทหน้าที่ของบุคคลที่เกี่ยวข้อง เช่น บุคคลผู้ร้องขอ บุคคลผู้มีอำนาจอนุมัติ และบุคคลผู้บริหารสิทธิการเข้าถึง เป็นต้น [ ข้อ 5.1 แนวปฏิบัติ 1(2) ] คณะทำงานกลุ่มย่อย AIMC
Clause 31 in order to identify the real client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is
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
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
apply to electricity generating business. (4) having units of the fund with an equal par value. In case of unit classification, the rules prescribed under Clause 11 shall apply; (5)6 having the policy to
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