personal data: 1.1 Definitions and examples of data collected by the SEC Office Personal data: Data of a personal nature, for example, identification number/passport number, title, name, surname (Thai
has revised such regulations for the business providers to be able to mandate their operation to outsourcee with proficient personnel and working system as business operators, but the operation must
Clause 23 and Clause 24, shall not apply to the providing of derivatives brokerage services to the clients who are institutional investors . Chapter 2 Organizational Structure, Operation System, and
and Clause 24, shall not apply to the providing of derivatives brokerage services to the clients who are institutional investors. Chapter 2 Organizational Structure, Operation System, and Operational
and Clause 24, shall not apply to the providing of derivatives brokerage services to the clients who are institutional investors. Chapter 2 Organizational Structure, Operation System, and Operational
major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The
Client Acceptance: Firm's Reference /Guidance Notes Description 1 The standard documentation highlights all important matters for consideration, including: • integrity and identification checks on client
Change (Please specify all information on change of first name / last name since becoming sui juris and attach documents indicating such change) 1.2 Type of Card [ ] Identification Card [ ] Passport (only
”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and
Classification : ใชภ้ายใน (Internal) Table of Contents Page Part 1: Business Operation and Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business