RI Client Solutions Book PUBLIC PUBLIC PUBLIC PUBLIC PUBLIC PUBLIC Environment Society Company PUBLIC o o o PUBLIC o o o o ° PUBLIC o o o
intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of
securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening application and providing investment advice to
, knowledge, understanding and experience regarding securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening
Collective engagement Institutional investors should act collectively as appropriate where this would assist in advancing beneficiary or client interests, taking account of relevant legal and regulatory
Last names CPA License No. Position Educational Qualification Experience in Auditing (years) 1. 2. 3. 4. (Additional details can be submitted as attachments) Details of assistant auditors who assist the
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
Notification of the Capital Market Supervisory Board in accordance with Section 111/1 of the Securities and Exchange Act B.E. 2535 (1992). “client’s asset” means an asset deemed to be owned by a client as