provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for

Sanction Mr. Pisnu Pirungkapourah Following order of person who is not an account owner or authorized by the client causing damages to such client

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

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/CDD) (4

the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the

Re: Approval of Investor Contacts and Standards of Conduct dated 21 June 2005. 1. Kittipong Piyasakulsiri (three-month suspension) ? Having used a client?s account to trade securities for himself

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

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

securities with a securities company ; (4) “ client ” means a counterparty who is not a securities company , the Bank of Thailand, or a person licensed to undertake securities business in the category of