financial statements (paragraph........); ( 5.5 Significant mistakes in financial statements arisen after dissemination and the financial statements required restatement (paragraph........); ( 5.6 Others
damage to the company or the shareholders or any ill- gotten gain by myself or any other person; (2) Any behavior in respect of disclosure or dissemination of information or statement concerning the
ทำความรู้จักลูกค้าในเชิงลึก (Client Due Diligence) (ง) การทบทวนข้อมูลลูกค้า (Ongoing / Enhanced KYC) (2) ระบบงานที่เกี่ยวข้องกับการนำเทคโนโลยีมาใช้ในการทำความรู้จักลูกค้า (ก) การบริหารความเสี่ยงด้าน IT (ข
ทำธุรกรรม reduced KYC/CDD โดย identify & verify ตามแนวทางที่สมาคมกำหนด ลูกค้าที่ต้องให้ความสนใจเป็นพิเศษ ลูกค้าปกติทั่วไปยงกลาง เสี่ยงต่ำกว่าปกติ enhanced KYC/CDD โดย identify & verify ตามแนวทางที่
and standards of conduct. Please be informed and act accordingly. Dissemination of the content hereof to all concerned parties would be highly appreciated. Should you have any query please contact the
mutual fund rating, the information relating to mutual fund rating and the information supporting such rating shall be kept for not less than two years from the date of dissemination. Clause 11/1. In
ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD process must be performed
copy or refer the material information in full without editing or adding any statement that may be misleading. The source of information and date of dissemination of such copied or referred statement
editing or adding any statement that may be misleading. The source of information and date of dissemination of such copied or referred statement shall be clearly specified. Clause 8. The advertisement
during the period from fifteen days prior to the first offering date to the offering closing date or the date of providing overallotment shares in full, as the case may be, except for the dissemination of