offices only when the intermediary is qualified and ready to provide such service in the same manner as establishing a branch office according to the Notification of the Capital Market Supervisory Board
of trading orders of capital market products outside the intermediary’s offices only when the intermediary is qualified and ready to provide such service in the same manner as establishing a branch
of trading orders of capital market products outside the intermediary’s offices only when the intermediary is qualified and ready to provide such service in the same manner as establishing a branch
discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC Office upon request: (1) the persons under Clause 5 and Clause 6 of the intermediary who is a
means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or
high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or promissory notes issued, accepted
short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or
). Clause 20 An intermediary shall prepare the information on the appointment and the discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC
further the efforts when ready and, when applicable, prioritize and incorporate proactive initiatives into the corporate strategic plan, and disclose progress reports for the benefit of sustainable business
://www.ifac.org/knowledge-gateway/preparing-future-ready- professionals/discussion/anti-money-laundering-basics 2022-07-27T15:18:46+0700 สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์