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

(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...

, 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

presented in the latest audited financial statement is in a positive position. If there is a capital increase after such financial statement, the increased amount could be added to the shareholders’ equity

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

decreasing capital and subsequently increased its capital under the assistance of a State agency or financial institution: O Yes (please specify) I am or have been an executive of ……………….……… which was

rectify the damaged financial position by decreasing capital and subsequently increased its capital under the assistance of a State agency or financial institution, unless exempted by the SEC: O yes O being