broker does not possess mentioned information or documentation above within three years from the date this notification become effective. As added by the SEC Office Notification No. Kor Thor 13/2549 Re
. Kor Thor 13/2549 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker (No. 2) dated 02/05/2006 which Clause 8 will be effective from 1 January 2007 7 As amended by the SEC
. Kor Thor 13/2549 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker (No. 2) dated 02/05/2006 which Clause 8 will be effective from 1 January 2007 7 As amended by the SEC
exercises effective control in relation to the customer’s account or transactions; (5) “suspicious transaction” means suspicious transactions to be reported under anti-money laundering legislations; (6) “anti
in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately exercises effective control in relation to the customer’s account or
owns the account, or has significant interests in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately exercises effective control in
approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest; (2) risk management system for
establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest
establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest
we still foresee that other measures i.e. Anti-Dumping is still valid until 2020. Recently the Anti-Circumvention law is just approved and will be effective in the next 6 months. This will be the first