Commission (SEC), and various stakeholders at an international level. Such exposure and recognition can help elevate issuers’ reputation, promote bonds’ visibility, expand new investors’ base as well as
under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time; (5) significant amount in terms of size/volume is transacted, which is
securities company, when requested under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time; (Unofficial Translation) - 8 - (5) significant
-face meeting) with staff of the securities company, when requested under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time
branch office has had inappropriate manner as follows: (1) doing business in a manner which may cause damage to its clients; (2) undertaking operation in a manner which may cause disgrace to the reputation
to the reputation of Thailand or may impact on international relationship, in case of oversea branch office; (3) inability to maintain the qualifications as specified in Clause 7; (4) not having system
manner which may cause disgrace to the reputation of Thailand or may impact on international relationship, in case of oversea branch office; (3) inability to maintain the qualifications as specified in
manner which may cause disgrace to the reputation of Thailand or may impact on international relationship, in case of oversea branch office; (3) inability to maintain the qualifications as specified in
, 2021 Market risk: identified changing customer behaviour towards low-carbon products, and reduced demand for higher carbon products and services. Reputation risk: identified growing expectation from
ต้องสอบผ่าน ตามเกณฑ์ท่ีก่าหนด 3. การทบทวนแบบประเมิน suitability test - หากลูกค้า inactive ในรอบ 2 ปีที่ผ่านมา ขอไม่จัดส่งเอกสารแจ้งลูกค้า แต่ใช้วิธี lock บัญชีของลูกค้า ใหไ้ม่สามารถท่าธุรกรรมต่อไปได้ โดย