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
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
assuming responsibility for management decisions for audit client; · operate an enforcement mechanism to promote compliance with the policies and procedures; · empower staff to communicate concerns to senior
already delivered all of such money to the customer within five working days from the date of receipt of such money. In case where the client informs the securities company to keep the money under (b) (c
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
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
informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance
broker; (2) “ institutional client ” means any client who is the following persons: (a) commercial banks; (b) finance companies; (c) securities companies; (d) credit foncier companies; (e) non-life