Rules for Custody of Customer Assets and Essential Details of Custody Agreement

customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities

provided the collection and assessment of customer information (Know Your Customer / Customer Due Diligence) (KYC/CDD) systems for Satang to operate its business in accordance with relevant laws, regulations

business service as a channel for money laundering and terrorist financing such as requiring securities business operator (securities firms and asset management companies) to learn of client?s identity, a so

Bangkok, February 1, 2013 ? The SEC, in cooperation with the Association of Thai Securities Companies (ASCO), has urged securities companies to strengthen their Know-Your-Customer/Customer Due

Commission Notification of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33

of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2

Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2) of the

laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC

services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering legislations, or where the know-your-client