and their subsidiaries for the previous accounting period , on a quarterly basis and the year-end period, categorizing as: the auditors giving opinion on the financial statements (signing partners), the
information for the following purposes prior to providing services: (1) knowing the client ; (2) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of
of clients ; (2) operating in a manner that does not cause any obstacle to compliance with the governing laws or related regulations of the authority or affect the supervisory efficiency of the
of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is
) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of capital market products ; (4) considering ability of the client to perform in respect of servicing
following periods of time: (a) the information for the purpose of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval
(Translation) PAGE 20 (Unofficial Translation) The Trust for Transactions in Capital Market Act( B.E. 2550 (2007) ________________ BHUMIBOL ADULYADEJ, REX., Given on the 30th Day of December B.E. 2550; Being the 62nd Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the trust for transactions in the capital market; Whereas this Act contains certain provisions relating to the restriction of rights and l...