grounds on which it declines to approve the previous application in considering the re-submitted application. Clause 8 In using its discretion to issue any instruction under Clause 7, the Office shall
-money laundering legislations (5) record keeping and retention of records in relation to know-your-client/ customer due diligence process and reporting of suspicious transactions. The policy mentioned in
, could pose risk to the client. She also disregarded her client?s instruction and continued her improper actions. The SEC, therefore, suspends Kruawan from the status of approved investor contact for one
/CDD) (4) reporting of suspicious transactions under anti-money laundering legislations (5) record keeping and retention of records in relation to know-your-client/ customer due diligence process and
) reporting of suspicious transactions under anti-money laundering legislations (5) record keeping and retention of records in relation to know-your-client/ customer due diligence process and reporting of
records of the collective investment vehicle’s assets, be these in electronic or paper form. In many cases this will result in their https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN
%20Responsibilities_2013.pdf Custodians Custodians are responsible for the safekeeping and maintaining of records of the collective investment vehicle’s assets, be these in electronic or paper form. In many cases this will
, effective from 17 March 2020. Investors are strongly advised to thoroughly check and make sure that the evidence of all transaction records, both buy and sell sides, is genuinely issued by the banks or the
case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents
Thailand on irregular trading in SLC shares during March 31 - April 29, 2010, the SEC probed into the case and found records kept by the suspects regarding the details of the group trading in SLC shares