client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources

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

/scheme and investment restrictions that are required by the laws and regulations. (3) Having risk management system for the risk which may occur. (4) Determination of the investment committee meeting to be

such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and

บัญชี ต่อผู้บริหารระดับสูง ( บล. ไม่สามารถมอบหมายให้สถาบันการเงินอื่นทำ KYC/CDD แทนตน ยกเว้น เฉพาะในส่วนที่เป็นการพบลูกค้า (face-to-face meeting) เมื่อลูกค้ามีการเปิดบัญชีหรือเริ่มทำธุรกรรม แต่จะต้องจัด

shall form a quorum. If the Chairman of the SEC is not present at the meeting or cannot perform his duty, and if there is a Vice-Chairman, the Vice-Chairman present at the meeting shall be the Chairman of

license and evidence on renewal of such license; (11) Copy of Identification Card; (12) Copy of the Shareholders Name List (Form Bor. Or. Jor. 5). In this regard, I confirm my willingness to provide

indicating such change) 1.2 Type of Card [ ] Identification Card [ ] Passport (only for non-Thai national who does not have an identification card or does not know identification number) Card Number : Expiry

shall be disclosed with expected turnaround schedules during each period of time. Remark : Identification of the customers or suppliers who account for more than 30 percent of the total income over the

businesses unless there is a reasonable ground for failure of such identification. (2) In case of a holding company, provide information on the shareholders of the subsidiary undertaking the core business