Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By
Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551
and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance
, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
appearing in the licensed operator’s list of shareholders submitted to the Ministry of Commerce. Clause 4 This Notification shall come into force from 1 December 2017. Notified this 31st day of October 2017
shall perform only the following duties: (1) acceptance of request from customer to open an account so as to forward the request to a branch office or head office for approval; (2) acceptance of purchase
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of