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Documentation Supporting Securities Trading Account Opening

Type of client / Minimum Information or document / Additional documents
1. Thai natural person / 1.1application that client has completely filled up. In case of no information, must indicate as “no information”.
(1)name of natural person who is beneficial owner
(2)name of natural person who is controlling person
(3)information re profession and place of work
(4)political position
(5)residence and contact address
(6)transaction objectives
(7)transaction experience
(8)sanction record of violation of related AML provision for the last 3 years before account opening
1.2copy of following documents which are current and bear the photo that can verify that it is the client
(1)Identification Card or
(2)Government Official ID, State Enterprise ID, Government Organization ID, passport or Driver License (new version which bears Identification Card number)
(In case of 1.2(2), must present Household Registration Number which bears Identification Card number)
1.3Power of Attorney including copy of ID Card which is not expired of the attorney and bear the photo that can verify that it is the attorney (in case that there is a grant of power for others to act on the client’s behalf)
1.4ATS Application (in case that the client uses ATS) / 1.The company may ask for evidence to support the consideration of the current residence or contact address e.g. utilities receipt or client’s banking documents
2.copy of document showing financial or asset status e.g. bank statement(3 months back from the date the client contacting to open the account or transact), ownership in assets, document re income (salary slip or Tax Return Form)
These documents must show the current information. (the company can assess client’s financial status from other reliable information from the above information.)
Type of client / Minimum Information or document / Additional documents
2. Foreign natural person / 2.1application that client has completely filled up. In case of no information, must indicate as “no information”.
(1)name of natural person who is beneficial owner
(2)name of natural person who is controlling person
(3)information re profession and place of work
(4)political position
(5)residence and contact address
(6)transaction objectives
(7)transaction experience
(8)sanction record of violation of related AML provision for the last 3 years before account opening
2.2copy of unexpired passport (bearing the photo that can verify to a certain extent that it is the client). In case that the company is not certain, the company may ask the client to show a certificate from his/her own government entities or embassies.
2.3Power of Attorney including copy of ID Card which is not expired of the attorney and bear the photo that can verify that it is the attorney (in case that there is a grant of power for others to act on the client’s behalf)
2.4ATS Application (in case that the client uses ATS) / 1.The company may ask for evidence to support the consideration of the current residence or contact address e.g. utilities receipt or client’s banking documents
2.copy of document showing financial or asset status e.g. bank statement(3 months back from the date the client contacting to open the account or transact), ownership in assets, document re income (salary slip or Tax Return Form)
These documents must show the current information. (the company can assess client’s financial status from other reliable information from the above information.)
Type of client / Minimum Information or document / Additional documents
3. Partnership / 3.1application that client has completely filled up. In case of no information, must indicate as “no information”.
(1)name of natural person who is beneficial owner
(2)name of natural person who is controlling person
(3)type of business
(4)operating and contact address
(5)sanction record of violation of related AML provision for the last 3 years before account opening
3.2copy of Partnership Affidavit (1 month) certifying the name of managing partner and his/her power.
3.3copy of following managing partner documents which are current and bear the photo that can verify that it is the same person
(1)Identification Card or
(2)Government Official ID, State Enterprise ID, Government Organization ID, Alien Identification Card, passport or Driver License (new version which bears Identification Card number)
(In case of 3.3(2), must present Household Registration Number which bears Identification Card number)
3.4Power of Attorney including copy of ID Card which is not expired of the attorney and bear the photo that can verify that it is the attorney (in case that there is a grant of power for others to act on the client’s behalf)
3.5ATS Application (in case that the client uses ATS) / 1.Partnership resolution approving the securities trading account opening
2.copy of partner MOU or Articles of Association (if any)
3.copy of documents showing financial or asset status e.g. latest financial statement or asset ownership.
(the company can assess client’s financial status from other reliable information from the above information.)
Type of client / Minimum Information or document / Additional documents
4.Company established in Thailand / 4.1application that client has completely filled up. In case of no information, must indicate as “no information”.
(1)name of natural person who is beneficial owner
(2)name of natural person who is controlling person
(3)type of business
(4)operating and contact address
(5)sanction record of violation of related AML provision for the last 3 years before account opening
4.2copy of Company Affidavit (1 month) showing business objectives and list of directors and authorized directors
4.3copy of latest list of shareholders or other company’s documents showing the list of shareholders and the client must indicate those who are the same group.
4.4copy of unexpired identification card of those signed in the account agreement
4.5Power of Attorney including copy of ID Card which is not expired of the attorney and bear the photo that can verify that it is the attorney (in case that there is a grant of power for others to act on the client’s behalf)
4.6ATS Application (in case that the client uses ATS)
Remarks:the above documents must be signed to certify by authorized person as well as affix company seal (if specified) / 1.Board resolution approving the securities trading account opening as well as appointing or grating power to those to act on behalf of the client (in case that there is a grant of power to those not empowered according to company’s Affidavit.
2.copy of documents showing financial or asset status e.g. latest financial statement or asset ownership.
(the company can assess client’s financial status from other reliable information from the above information.)
Type of client / Minimum Information or document / Additional documents
5.Foreign juristic person (non-resident account) or representative Office of foreign juristic person / 5.1application that client has completely filled up. In case of no information, must indicate as “no information”.
(1)name of natural person who is beneficial owner
(2)name of natural person who is controlling person
(3)type of business
(4)operating and contact address
(5)sanction record of violation of related AML provision for the last 3 years before account opening
5.2documents re company establishment
5.3copy of unexpired identification card or passport of those signed in the account agreement
5.4documents registration acceptance or approving the presence of the office in Thailand as well as list of those responsible or manager of the office, operating and contact address in Thailand
5.5copy of latest list of shareholders and the client must indicate those who are the same group.
5.6Power of Attorney including copy of passport which is not expired of the attorney and bear the photo that can verify that it is the attorney (in case that there is a grant of power for others to act on the client’s behalf)
5.7ATS Application (in case that the client uses ATS)
Remarks:in case of new client and the documents are signed in foreign countries, the documents must be prepared in Thai or English and must be certified by Notary Public. / 1.Board resolution approving the securities trading account opening as well as appointing or grating power to those to act on behalf of the client (in case that there is a grant of power to those not empowered according to company’s Affidavit.
2.copy of documents showing the client’s or the client’s head office (in case of representative office of juristic person established in foreign countries) financial or asset status e.g. latest financial statement or asset ownership.
(the company can assess client’s financial status from other reliable information from the above information.)
Type of client / Minimum Information or document / Additional documents
6.Listed companies in Thailand or those follow FATF Recommendation / 6.1application that client has completely filled up. In case of no information, must indicate as “no information”.
(1)name of natural person who is beneficial owner
(2)name of natural person who is controlling person
(3)type of business
(4)operating and contact address
(5)sanction record of violation of related AML provision for the last 3 years before account opening
6.2copy of unexpired identification card or passport of those signed in the account agreement
6.3Power of Attorney including copy of ID Card or passport which is not expired of the attorney and bear the photo that can verify that it is the attorney (in case that there is a grant of power for others to act on the client’s behalf)
6.4ATS Application (in case that the client uses ATS)
Remarks:1.for listed companies in Thailand, the above documents must be signed to certify by authorized person as well as affix company seal (if specified)
2.in case of new client and the documents are signed in foreign countries, the documents must be prepared in Thai or English and must be certified by Notary Public. / 1.Board resolution approving the securities trading account opening as well as appointing or grating power to those to act on behalf of the client (in case that there is a grant of power to those not empowered according to company’s Affidavit.
2.copy of documents showing the client’s financial or asset status e.g. latest financial statement or asset ownership.
(the company can assess client’s financial status from other reliable information from the above information.)
Type of client / Minimum Information or document / Additional documents
7.Thai financial institution not listed in SET (excluding omnibus) / 7.1application that client has completely filled up. In case of no information, must indicate as “no information”.
(1)name of natural person who is beneficial owner
(2)name of natural person who is controlling person
(3)type of business
(4)operating and contact address
(5)sanction record of violation of related AML provision for the last 3 years before account opening
7.2copy of Company Affidavit (1 month) showing business objectives and list of directors and authorized directors
7.3copy of unexpired identification card of those signed in the account agreement
7.4Power of Attorney including copy of ID Card which is not expired of the attorney and bear the photo that can verify that it is the attorney (in case that there is a grant of power for others to act on the client’s behalf)
7.5copy of latest list of shareholders or other company’s documents showing the list of shareholders (in case where the client has any amendments and have nor registered)
7.6information or documents showing that the financial institution is under regulatory supervision e.g. registration document with regulator, Business Operating permit or information from regulator’s website
7.7ATS Application (in case that the client uses ATS)
Remarks:the above documents must be signed to certify by authorized person as well as affix company seal (if specified) / 1.Board resolution approving the securities trading account opening as well as appointing or grating power to those to act on behalf of the client (in case that there is a grant of power to those not empowered according to company’s Affidavit.
2.copy of documents showing financial or asset status e.g. latest financial statement or asset ownership.
(the company can assess client’s financial status from other reliable information from the above information.)
Type of client / Minimum Information or document / Additional documents
8.Foreign financial institution which
are not listed
(excluding omnibus account) / 8.1application that client has completely filled up. In case of no information, must indicate as “no information”.
(1)name of natural person who is beneficial owner
(2)name of natural person who is controlling person
(3)type of business
(4)operating and contact address
(5)sanction record of violation of related AML provision for the last 3 years before account opening
8.2Certificate of incorporation and list of directors and authorized directors
8.3copy of unexpired passport of those signed in the account agreement
8.4Power of Attorney including copy of passport which is not expired of the attorney and bear the photo that can verify that it is the attorney (in case that there is a grant of power for others to act on the client’s behalf)
8.5copy of latest list of shareholders and the client must indicate those who are the same group.
8.6information or documents showing that the financial institution is under regulatory supervision e.g. registration document with regulator, Business Operating permit or information from regulator’s website
8.7ATS Application (in case that the client uses ATS)
Remarks:in case of new client and the documents are signed in foreign countries, the documents must be prepared in Thai or English and must be certified by Notary Public. / 1.Board resolution approving the securities trading account opening as well as appointing or grating power to those to act on behalf of the client (in case that there is a grant of power to those not empowered according to company’s Affidavit.
2.copy of documents showing the client’s financial or asset status e.g. latest financial statement or asset ownership.
(the company can assess client’s financial status from other reliable information from the above information.)
Type of client / Minimum Information or document / Additional documents
9.Thai omnibus account and fund / 9.1application that client has completely filled up. In case of no information, must indicate as “no information”.
(1)type of business
(2)operating and contact address
(3)sanction record of violation of related AML provision for the last 3 years before account opening
9.2copy of Company Affidavit (1 month) showing business objectives and list of directors and authorized directors
9.3copy of unexpired identification card of those signed in the account agreement
9.4Power of Attorney including copy of ID Card which is not expired of the attorney and bear the photo that can verify that it is the attorney (in case that there is a grant of power for others to act on the client’s behalf)
9.5information or documents showing that the financial institution is under regulatory supervision e.g. registration document with regulator, Business Operating permit or information from regulator’s website
9.6document or information of fund establishment under the client’s management e.g. Mutual Fund Registration Certificate, Provident Fund Registration Certificate, POA for private fund or information distributed publicly by regulators
9.7copy of latest list of shareholders and the client must indicate those of the same group
Remarks:the above documents must be signed to certify by authorized person as well as affix company seal (if specified) / 1.Board resolution approving the securities trading account opening as well as appointing or grating power to those to act on behalf of the client (in case that there is a grant of power to those not empowered according to company’s Affidavit.
2.copy of documents showing financial or asset status e.g. latest financial statement or asset ownership.
(the company can assess client’s financial status from other reliable information from the above information.)
Type of client / Minimum Information or document / Additional documents
10.Foreign omnibus account and fund / 10.1application that client has completely filled up. In case of no information, must indicate as “no information”.
(1)type of business
(2)operating and contact address
(3)sanction record of violation of related AML provision for the last 3 years before account opening
10.2Certificate of incorporation and list of directors and authorized directors
10.3copy of unexpired passport of those signed in the account agreement
10.4Power of Attorney including copy of passport which is not expired of the attorney and bear the photo that can verify that it is the attorney (in case that there is a grant of power for others to act on the client’s behalf)
10.5information or documents showing that the financial institution is under regulatory supervision e.g. registration document with regulator, Business Operating permit or information from regulator’s website
10.6Self assessment form re control system and oversight of AML measures to ascertain that the financial institution or fund have sufficient and effective control to perform CDD and report STR
10.7copy of latest list of shareholders and the client must indicate those who are the same group.
Remarks: in case of new client and the documents are signed in foreign countries, the documents must be prepared in Thai or English and must be certified by Notary Public. / 1.Board resolution approving the securities trading account opening as well as appointing or grating power to those to act on behalf of the client (in case that there is a grant of power to those not empowered according to company’s Affidavit.
2.copy of documents showing the client’s financial or asset status e.g. latest financial statement or asset ownership.
(the company can assess client’s financial status from other reliable information from the above information.)
Type of client / Minimum Information or document / Additional documents
11.Joint Venture / Same approach as normal juristic person client by using documents of all parties comprising the joint venture / –
12.Association / Foundation / 12.1application that client has completely filled up. In case of no information, must indicate as “no information”.
(1)name of natural person who is beneficial owner
(2)name of natural person who is controlling person
(3)operating and contact address
(4)sanction record of violation of related AML provision for the last 3 years before account opening
12.2Establishment approving certificate
12.3Articles of Association
12.4copy of unexpired identification card of those signed in the account agreement
12.5Power of Attorney including copy of ID Card which is not expired of the attorney and bear the photo that can verify that it is the attorney (in case that there is a grant of power for others to act on the client’s behalf)
Remarks:the above documents must be signed to certify by authorized person as well as affix seal (if specified) / 1.Boardresolution approving the transaction as well as appointing or grating power to those to act on behalf of the client
2.copy of documents showing financial or asset status e.g. latest financial statement or asset ownership.
(the company can assess client’s financial status from other reliable information from the above information.)