know-your-customer requirement or e-KYC via online methods. The use of authentication and verification under the National Digital ID (NDID) system will make it convenient, quick and reliable to open

an account with, they should seek verification from the firm before making any transactions.? Before making decision to use any wealth management services, investors can check the list of licensees and

an account with, they should seek verification from the firm before making any transactions.? Before making decision to use any wealth management services, investors can check the list of licensees and

for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include

for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include

risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with

risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with

ผู้รับดำเนินการในงานที่เกี่ยวข้องกับการประกอบธุรกิจ (outsource) ซึ่ง บลจ. มีหน้าที่กำกับดูแล (supervise) บุคคลภายนอกดังกล่าวปฏิบัติให้เป็นไปตามหลักเกณฑ์ที่กำหนดเกี่ยวกับงานที่รับมอบหมายด้วย 2

Foreign Currency 17/01/2017 16/02/2017     2. Notification of the Office of the Securities and Exchange Commission  SorOr. 6/2557 Verification of Foreign Collective Investment Scheme and Announcement of

public by such securities companies and derivatives broker. In this regard, the SEC Thailand assumes no responsibility for verification, examination or certification of completeness, accuracy and update of