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
entities; 3. I am not an officer or employee of my audit clients or its related entities; 4. I have characteristics and qualifications that meet all criteria in the Notification of the SEC Office regarding
employee of my audit clients and or its related entities. 4. I have qualifications that meet all criteria in the Notification of the Office of the Securities and Exchange Commission No. 30/2558 Re: Approval
designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet
ทำความรู้จักลูกค้าในเชิงลึก (Client Due Diligence) (ง) การทบทวนข้อมูลลูกค้า (Ongoing / Enhanced KYC) (2) ระบบงานที่เกี่ยวข้องกับการนำเทคโนโลยีมาใช้ในการทำความรู้จักลูกค้า (ก) การบริหารความเสี่ยงด้าน IT (ข
the seller to compensate the purchaser in the case where the delivered goods do not meet the standards stipulated under the contract shall not be treated as permitting the party having the obligation to
ทำธุรกรรม reduced KYC/CDD โดย identify & verify ตามแนวทางที่สมาคมกำหนด ลูกค้าที่ต้องให้ความสนใจเป็นพิเศษ ลูกค้าปกติทั่วไปยงกลาง เสี่ยงต่ำกว่าปกติ enhanced KYC/CDD โดย identify & verify ตามแนวทางที่
: 1. roles and responsibilities of the cloud provider and the liabilities to the intermediary in the case that the cloud provider fails to comply with the agreement;. 2. operating procedures that meet
are allowed by law to invest; (3) giving advice through radio programs, television programs, newspapers or other print media in such ways that meet all of the three following conditions: (a) giving
meet the period specified in the second paragraph, and the Office does not notify the result of consideration, or does not order to the securities company, it shall be deem that the Office approves the