postponing the public holidays on 13-15 April 2020 during Songkran Festival until the situation concerning the spread of the novel Coronavirus (Covid-19) has improved, in which case the Cabinet will consider
leaving the regulatory sandbox upon or before expiration. (5) specifying a limited scope of services to alleviate material impacts or damage on investors or the overall capital market, for example, types or
strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a limited scope of operation to alleviate material impacts or damage on investors or the overall capital market
circumstances which may significantly affect the management company or may cause damages to customers or investors. Such plan shall be stress-tested, reviewed and improved to be up-to-date and to be suitable for
without delay, and the processes and procedures shall be improved in line with the policy which has been changed; (4) report on the conformance of the information technology governance policy shall be
, and the processes and procedures shall be improved in line with the policy which has been changed. Additional Guidelines 1. The policy on the management of information technology risk under Clause 5(1
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
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
Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial