, proportion of content and form of presentation in order that a client would be able to receive necessary and useful information for using the intermediary ’s service or for making a decision of investment in
of content and form of presentation in order that a client would be able to receive necessary and useful information for using the intermediary ’s service or for making a decision of investment in
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that 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
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
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
policies and procedures maintain or provide its personnel access to adequate and up-to-date audit manual, firm’s policies and procedures and reference materials which include materials related to the client
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