) a copy of identification card or passport; (Translation) -2- (b) documents indicating the change of first name or last name (only documents indicating changes since becoming sui juris). The
the haircut shall be tested on a regular basis and the validity of the haircut calculation method shall be reviewed at least once a year; (8) determination of methods for identification and reduction of
calculation method shall be reviewed at least once a year; (10) determination of methods for identification and mitigation of risks relating to the acceptance of cross-border collateral to ascertain that such
. specifying the source of data used in decision making, the study of analysis/research article, criteria in selecting the investment, fund manager’s rationale for deviating investment plan from the conclusion
. specifying the source of data used in decision making, the study of analysis/research article, criteria in selecting the investment, fund manager’s rationale for deviating investment plan from the conclusion
Securities and Exchange Commission, Thailand (2) Criteria were unclear on risk assessment process, most noticeably when overall conclusion of the risk assessment was not supported by the corresponding detailed
person : see next page 77 Registration : ordinary person Click Register 88 1. Select Passport No. for Identification Type 2. Fill in details 3. Click verify 99 First-time Registration 1010 This page is
in place, Institutional Investors should at least have the following: 2.2.1 Written policies for the prevention, identification, minimization and management of conflicts of interests. 2.2.2 Procedures
everyone in the firms, even if he or she is not allocated to the engagement. • The identification of related parties of the audit firms is not sufficient, which may cause the firm not to consider the
Identification Number SEC HELP Center 1207 info@sec.or.th Last Updated 31 March 2022 Last Reviewed 31 March 2022