of due diligence and know-your-client assessments (DD/KYC), (3) supporting electronic non-face-to-face identity verification, and (4) allowing businesses to access anonymized data under possession of
-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains
familiar with tools for verification before making investment decisions to build investment confidence. The SEC has participated in this activity for the 9th consecutive year since 2017.
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3. Maintenance of
accepted accounting principles. The company did not arrange the assessment of value and quantity of small-sized gas cylinders and record allowances for impairment in accordance with generally accepted
such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht. The misconduct above led to the
later informed his client of the trading orders already submitted. The client did not specify securities, amount and price but accepted the transactions. Making securities trading decisions on behalf of
financial statements considering the company?s 2010 financial statements not in compliance with the generally accepted accounting principles. The company did not arrange the assessment of value and quantity