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
; □ (2.3) Personnel planning for business expansion (if any). In the case where no personnel has been hired, the applicant shall submit the criteria for qualifications of such position. □ 5. Other supporting
position to be as required by the rules, and receives the permission from the Office to expand their business operation For the purpose of the first paragraph hereof, “Expansion of operation” means: (1
from the Office prior to such expansion or change. In the case where the management company has been permitted to establish a branch office which is not an online branch, the management company shall
starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by
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