derivatives trading account, the derivatives broker shall establish a written method and procedure for considering an account opening application. Reasonable processes shall be established to ensure that the
than the juristic person under (8); (7) international financial institutions; (8) government agencies and state enterprise under budget procedure law; (9) the Financial Institutions Development Fund; (10
) international financial institutions; (8) government agencies and state enterprise under the law on budgetary procedure; (9) the Financial Institutions Development Fund; (10) the Government Pension Fund; (11
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
transaction of securities dealing with a client , a securities company shall specify a procedure and method for the Know Your Client & Client Due Diligence (KYC/CDD) in writing whereby there shall be sufficient
funds ; (5) undertaking for open-end funds to maintain their liquidity and the procedure in case of failure to maintain liquidity as specified; (6) any other provisions relating to the management of funds
Thailand; (3) an international financial institution; (4) a juristic person established under a specific law; (5) a government agency and a State enterprise under the law on budgetary procedure; (6) the
satisfies the need of the user, and reducing the integrity risk by the content covering the development procedure or alteration from the beginning such as request including take the developed operation system
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for