opinion of an independent specialist on the technology used in the infrastructure business (technological feasibility) if that technology has never been adopted in Thailand or is an advanced technology that
derivatives broker shall not reduce its paid-up capital to the extent that its shareholders’ equity is decreased unless permission is granted by the SEC. Clause 4 This Notification shall come into force from 16
each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
equivalent to the difference between the incorrect and the correct unit price. If the relevant purchasers have no such investment units left or have less investment units than the amount to be reduced, the
, securities company may apply a reduced KYC/CDD process should the client have the following quality (reduced KYC/CDD):- (1) information on the client’s true identity, including his ultimate beneficial owners
ทำธุรกรรม reduced KYC/CDD โดย identify & verify ตามแนวทางที่สมาคมกำหนด ลูกค้าที่ต้องให้ความสนใจเป็นพิเศษ ลูกค้าปกติทั่วไปยงกลาง เสี่ยงต่ำกว่าปกติ enhanced KYC/CDD โดย identify & verify ตามแนวทางที่
Sor-1, if the applicant has obtained derivatives business license in the category of derivatives broker limited to gold derivatives, the license fee paid by the applicant shall be reduced in the amount
in the category of derivatives brokerage limited to precious metal derivatives, the license fee paid by the applicant shall be reduced in the amount equal to the amount of the license fee already paid
ในลักษณะที่เข้มงวดน้อยกว่าปกติได้ (reduced KYC/CDD) (1) ข้อมูลเกี่ยวกับความมีตัวตนที่แท้จริงของลูกค้ารวมทั้งบุคคลที่ได้รับประโยชน์ จากการทำธุรกรรมในทอดสุดท้ายและบุคคลที่มีอำนาจควบคุมการทำธุรกรรมในทอด
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...