intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital

major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The

-classification of client). Clause 18. Securities company must perform KYC/CDD process on all existing customers within three years from the date this Notification comes into effect, except for the case that the

Partners / Staff Leaving: Does the policies and procedure require that: · all partners, senior or other members of the firm notify the firm regarding potential employment with any audit client of the firm

broker; (2) “ institutional client ” means any client who is the following persons: (a) commercial banks; (b) finance companies; (c) securities companies; (d) credit foncier companies; (e) non-life

the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the

securities with a securities company ; (4) “ client ” means a counterparty who is not a securities company , the Bank of Thailand, or a person licensed to undertake securities business in the category of

the SEC Office: (a) identifiable information manifesting the client and all persons who are the beneficial owners of derivatives contracts regardless of directly or indirectly; (b) the purposes of

investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of each client and the

each client and the total investment money of all clients generated from service provision (if any). (4) specifying a period of participating in the regulatory sandbox to be no longer than one year as