Jurisdiction: ________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that NRI CIS is legally established under the law of
Home Jurisdiction: ___________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by Qualifying CIS Operator ) [ ] 2.* Standard letter issued by the Home Regulator to a
, the appointment of third parties, such as other intermediaries , financial institutions or affiliated companies in the group of financial business who have readiness in personnel and operating system
ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD process must be performed
Securities and Exchange Act B.E. 2535 (1992) or Section 23 of the Derivatives Act B.E. 2546 (2003) ; (2) possessing the prohibited characteristics in Group 1 under Clause 29 or in Group 2 under Clause 30
acquisition of a business, unrelated to the operation of the current business. 3. To repay a loan or debt incurred from an issuance of debt securities. · In case of debt repayment to a group of financial
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment, although both clients [or both groups of clients ] are classified in the
established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the
to receive financial incentives in order to favor the interest of one client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment