.; (2) Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that
proceed as before, but in any case no later than 1 February 2020. Notified this 10th day of November 2014. (Mr. Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission 3
to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1
registrar of any asset as assigned by a client, the securities registrar shall proceed according to the rules, conditions and procedures for recording and maintaining the register of securities including
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
the SEC for consideration. If they view that further investigation should be taken in any certain aspect, I will immediately proceed it till final.? ?I realize that the public pay a lot of attention
on the personnel in the capital market business before this Notification comes into force, such committee may continue the consideration by using the provisions under this Notification as regulations