calculate the limits for each investment policy instead of for each fund, except for the investment limits set out in Clause 54.” Clause 4. In calculating limits for additional investment in assets by
ทำความรู้จักลูกค้าในเชิงลึก (Client Due Diligence) (ง) การทบทวนข้อมูลลูกค้า (Ongoing / Enhanced KYC) (2) ระบบงานที่เกี่ยวข้องกับการนำเทคโนโลยีมาใช้ในการทำความรู้จักลูกค้า (ก) การบริหารความเสี่ยงด้าน IT (ข
least one Satang or greater, and represents at least 0.5 percent of the correct unit value, the management company shall retrospectively calculate the unit value from the date the unit value is found
ทำธุรกรรม reduced KYC/CDD โดย identify & verify ตามแนวทางที่สมาคมกำหนด ลูกค้าที่ต้องให้ความสนใจเป็นพิเศษ ลูกค้าปกติทั่วไปยงกลาง เสี่ยงต่ำกว่าปกติ enhanced KYC/CDD โดย identify & verify ตามแนวทางที่
the electronic data interchange provided by the SEC Office for filing reports of securities company to the SEC Office. Clause 3. A securities company shall calculate net liquid capital in Form Bor.Lor
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
SEC governing the maintenance of derivatives fund manager’s financial condition. Clause 10. The derivatives fund manager shall: (1) Calculate the value of derivatives contracts in accordance with the
Office; (3) calculate the market prices of derivatives held by a client including any profit or loss from positions on derivatives in order to adjust the margin value of the client at least at closing time
Clause 8 The intermediary shall calculate the rate or value of the capital required to be maintain under the Notification concerning Maintenance of Capital twice a year, on the last business day of June
price and the correct unit price is at least one Satang or greater, and represents at least 0.5 percent of the correct unit price, the management company shall retrospectively calculate the unit price