laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC
Notification of Standard Conduct in the part concerning the effectiveness and consistency of the information system in the following matters: (1) governance of enterprise information technology in accordance
enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
enterprise bonds which are unconditionally guaranteed by the Ministry of Finance for full repayment of principal and interest, and Bank of Thailand bonds. Such instruments shall have time to maturity not
established under specific law other than the juristic persons under (h); (g) an international financial institution; (h) a governmental agency and a state enterprise under the law on budgetary procedures; (i
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
specific law, the Industrial Finance Corporation of Thailand, a finance company or credit foncier company; (c) a treasury bill, Government bond, state enterprise bond, Bank of Thailand bond, Financial
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
) 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 Office when customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business