Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information, information gathering in relation to sources of funds used

regard, the detailed feature of the certificate thereof shall be described in the report. Clause 6 In case of necessity where an offeror would not be able to submit the report as prescribed in this

when receiving the report for the purpose for gathering problems and inspect the cause, including study as a guideline to dissolve and prevent problem. [A] 4. report preparing control · Asking for

understand the feature, risks and specific conditions of such capital market products every time before making a decision to invest. After having performed in compliance with the first paragraph, the

) providing additional consultation involving feature, risk and return of the investment or transaction for the client ’s reviewing or reconsidering if the client insists to invest. After giving additional

shall perform the following conducts: (1) notifying the client ; (2) providing additional consultation involving feature, risk and return of the investment or transaction for the client ’s reviewing or

ที่มีความมั่นคงปลอดภัย [ ข้อ 5.4 แนวปฏิบัติ 3 ทั้งหมด ] คณะทำงานกลุ่มย่อย AIMC ขอเป็น reasonable effort เนื่องจากระบบเก่า หรือระบบใหม่บางระบบ อาจไม่มี feature รองรับหลักเกณฑ์บางประการ สำนักงานได้ปรับ