Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection
internal control or the compliance and information management system, nor being in the process of amending thereof, unless granted an exemption from the SEC Office. (Details of the matters subject to
investors first). This has led to a better process of product offering and the introduction of machine readable and Open API data presentation to accommodate further data analysis and value added services. In
suppliers. The plant now has been completed but still in the process of mechanical testing and improving the treatment formula. For the RDF facility in the second quarter, the Company has started to adjust
-Your-Customer/Customer Due Diligence: KYC/CDD system, causing the company to be fined by the Settlement Committee at the amount of 1,101,000 baht. Moreover, the SEC has suspended approval of two AEC
work systems of AEC, especially the Know-Your-Customer/Customer Due Diligence: KYC/CDD system, causing the company to be fined by the Settlement Committee at the amount of 1,101,000 baht. Moreover, the
numbers of the Managing Directors, Head of Compliance and email addresses; 2. Data processing system for data collected from report forms; 3. Seminars, workshops, meetings among agencies. ✓ ✓ 1. Managers of
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and operational