hardcopy to the SEC.” Unofficial translation prepared by Legal Department PAGE 2 FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [ company’s
client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources
identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices
ปฏิบัตินี้ ทั้งนี้ รายละเอียดดังกล่าวได้แก่เรื่องดังต่อไปนี้ (1) แนวทางปฏิบัติในการนำเทคโนโลยีมาใช้ในการทำความรู้จักลูกค้า (ก) การพิสูจน์ตัวตน (Identity proofing) (ข) การยืนยันตัวตน (Authentication) (ค) การ
availability of engagement partners and audit staff? If yes, please describe 2 Do the identity and role of the engagement partner are communicated to key members of client management and those charged with
processes to ensure that the client is the same person whose identity appears in the evidentiary documentation of an application for doing business transactions with the securities company , and verify the
photocopies of identity cards / photocopies of passports of the persons applied for approval; O photocopies of house register appearing the names of persons applied for approval; O photocopies of educational
is using the online service; 2. the management company has an operating system to verify the identity of the investor; (d) security system for customer information and other important information
relating to the management of the fund. Section 31. 2 In carrying out his duties, the competent official shall present his identity card to the persons concerned. The identity card of the competent official
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th 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 securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...