policies and procedures 2 Does the firm have channels for firm personnel to raise any concerns in a manner that enable them to come forward without fear of reprisals? If yes, please describe 3 Does the
dishonest intent: O Yes (please specify) For example, the final judgement of the court …...…………….….., Lawsuit case, Black No. .…..…/25.. and Lawsuit case, Red No. ...……/25.. Between .…………….………. and
__________________________________________________________________ 3.2 ระบบป้องกันและตรวจสอบการลงทุนเพื่อบริษัทหลักทรัพย์โดยไม่ได้รับอนุญาต (unauthorized proprietary trading) 4.2.1 มีการกำหนดลักษณะธุรกรรมสุ่มเสี่ยง (red flags) เพื่อการติดตามตรวจสอบอย่างใกล้ชิด ( มี
country or jurisdiction specified in the database in Clause 14(3); (2) a corporate client with complex shareholding or functional structures that may raise doubt or difficulty in determining the true
) or (3) to (10); (3) the government sector and state enterprises under the law on budgeting or other juristic persons incorporated by a specific law; (4) the Thai Red Cross or other foundations for the
of such suitability. It shall also provide basic advice to the client in order to raise the client’s awareness on the importance of asset allocation and determine investment proportion or enter into a
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...