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
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
/สงสัย ว่า เป็น/เกี่ยวกับ ML” แล้วแต่กรณี พบ/ สงสัย ว่า เป็น/เกี่ยวกับ PEPs / NCCTs /ไม่ได้ประยุกต์ใช้ FATF Recc. พิจารณาดำเนินการ - ติดตามใกล้ชิดยิ่งขึ้น / re-classify เป็นกลุ่มที่ต้องให้ความสนใจเป็นพิเศษ
during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the client; (c) to
following actions during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the
Securities and Exchange Commission hereby issues the following regulations: Clause 1 The management of funds of juristic entities under the same business group shall not be regarded as the undertaking of
) to categorize the service user; (c) to assess suitability for providing services to the service user; (d) to consider the ability of the service user to comply with the agreement for service provision
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of
categorize as a margin account or a cash account , as the case may be. The client’s asset account under Paragraph 1 shall contain at least the following details: (1) date of receipt or disposal of assets ; (2