criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a compliance unit in which acceptable and reliable standards
compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in
period of five years prior to submitting the application; (b) the person shall be knowledgeable and have capability in performing a reliable valuation of infrastructure assets ; 2 (2) in the case that the
reporting environment, the AARG must continue to be progressive and work closely with the profession to raise audit quality standards and provide reliable financial reporting in ASEAN.? _________________
Classification : ใชภ้ายใน (Internal) The opinions and information contained herein have been obtained or derived from sources believed to be reliable, but cannot guarantee its accuracy and completeness, and that
other benefits with value exceeding those traditionally acceptable from persons or juristic persons who have stakes in the SEC operation. This is to ensure that the SEC operation is reliable, transparent
client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources
identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources of information (client verification
identity using reliable sources of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1