UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. PAGE UNOFFICIAL TRANSLATION (Revised 2015
Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information, information gathering in relation to sources of funds used
revised to address the observed deficiencies. 5 Review the previous year’s ACR report with the current year and find out how the action points/concerns have been followed up. 6 Where the firm operates as
promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting
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
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
requirements of the revised regulations as well as providing guidelines for business operators accordingly. For further information and inquiries, please contact Ms. Sireethorn Civilize, Assistant Director, at
comes into force in B.E. 2559 (2016) and the sixth amendment of the Securities and Exchange Act which comes into force in B.E. 2562 (2019), the English translation has been revised by the staff of the SEC
when receiving the report for the purpose for gathering problems and inspect the cause, including study as a guideline to dissolve and prevent problem. [A] 4. report preparing control · Asking for
firm follows to provide reasonable assurance that new or revised regulations, interpretations, or rulings on independence, integrity, and objectivity matters considered appropriate for its practice? 12