service providing procedures. To reduce details in methods and procedures for the communication and service providing procedures under Paragraph 2, clients shall be informed of the information and risks of
), as well as the AMLO’s issuance of the Counter-Terrorism Financing Act B.E. 2556 (2013) and subsequent rules with details pursuant to both Acts for application to intermediaries. The SEC Office hereby
case my application is incomplete and the SEC Office has already informed such incompleteness by e-mail, it is deemed that I entirely assent to such informed incompleteness as well as the period of time
by the notification of the Office of the Securities and Exchange Commission on rules, conditions and procedures on management of fund. Management company shall reveal to unitholders, clients or
documents and evidence in full from the securities company, except in the case where there is a necessity to conduct further inspection of any facts and the Office has informed the securities company of such
…………………………………………………… who is working for us has explained and informed the Client being Mr/Miss/Mrs/Company……………………………. …………………………….. so as to be aware of the risks relating to futures and/or options trading prior to opening
any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as appropriate within the
controlling power and the nature of business during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger
private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another intermediary and reveal the report in the annual
and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as specified in the