- derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to examine as requested. Clause 11. In case where the Office sees appropriate, derivatives broker
readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with
evidence of service provider. Such keeping shall be readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine
Department 2) Consideration SEC official inspect qualifications of applicant by checking qualifications and status of the applicant 59 days Accounting Supervision Department (Unofficial Translation) 3 Step
long selling transactions; (5) To require that securities companies examine clients’ securities trading orders to verify that the clients fully borrow or own securities before executing the trading
verify and make informed investment decisions. The SEC has participated in these global efforts online every year since 2017. This year marks a special milestone with the introduction of onsite
. Using the client’s identification card left with her to verify the identity, the password of the authorized person to approve the unit redemption transactions, and the client’s internet banking account
to examine the quality of digital tokens to be offered for sale and to verify that the information provided in the registration statement and draft prospectus is accurate, clear and complete. The
ลูกค้า (KYC/CDD Process) เมื่อลูกค้าเปิดบัญชีหรือเริ่มทำธุรกรรมเป็นครั้งแรก รับทำธุรกรรม /เปิดบัญชี เกี่ยวข้องกับฟอกเงิน /ไม่ให้ความร่วมมือ verify ข้อมูลเพิ่มเติม (เฉพาะบางกรณี) ไม่ใช่ ใช่ identify