สถาบันทางการเงินและภาคธุรกิจในประเทศไทย ในการนำกระบวนการการออกหนังสือรับรองทางการเงิน (Bank Confirmation) มาพัฒนาร่วมกับเทคโนโลยี Blockchain เพื่อเข้ามาสนับสนุนการทำงานของผู้สอบบัญชีและธนาคารในการตรวจสอบ
that the company and its auditors are reviewing several issues and need more time for data preparation and verification. NRF therefore requested a deadline extension of 60 days for the submission of the
identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management
; (2) Confirmation statement; (3) The evidence of margin call in the case where the derivatives broker calls for a customer to deposit additional margin; (4) Account of derivatives trading of each
agencies to block social media accounts engaged in fraudulent investment activities. “The SEC examines the customer identity verification (KYC/CDD) systems of digital asset business operators regularly
participation in this regulatory sandbox is expected to solve issues in corporate bond market. This includes the issue of time-consuming process for verification of bondholders’ ownership and the lack of
requirement in the identification and verification process for the onboarding clients who already have relationship managers elsewhere outside the premise or the clients who have a life-time ID card without