, who provides advice to clients by a foreign derivatives business operator , shall undertake the following acts: (1) consider and select a foreign derivatives business operator who is reliable and
Clause 136 Repealed. Clause 13/17 The derivatives broker, who provides advice to clients by a foreign derivatives business operator, shall undertake the following acts: (1) consider and select a foreign
แนวทางของสมาคม enhanced KYC/CDD โดย identify & verify ตามแนวทางที่สมาคมกําหนด - รวบรวมขอมูลเพิ่ม - verify เพิ่มจากแหลงที่เช่ือถือได - การประเมินมาตรการ AML/CFT (กรณีลูกคาที่เปนสถาบันการเงินตางประเทศ
to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be
office to confirm the share transfer with a person who was believed not to be the true owner of the trading account, and adding a new contact phone number to the client?s personal profile even though there
is found and shall record the cause of each correction. Clause 14 A securities company shall arrange for the counting of clients’ assets which are kept by itself at least once a month to verify the
securities company shall arrange for the counting of clients’ assets which are kept by itself at least once a month to verify the records of clients’ assets as prepared by the securities company. For the
conformity to the following rules: (1) providing system for such arranging and keeping concisely, orderly and promptly to use or verify such stored things within a reasonable time; (2) the system as prescribed