thoroughly verify information before making investment decisions by directly inquiring the companies or individuals being covertly referenced. Additionally, it is essential not to disclose personal
. In particular, the account opening and KYC system is inadequate, resulting in the company’s failure to know its clients and verify the true identity of the clients or beneficial owners. These
inappropriateness for acting as capital market business personnel. Investors intending to subscribe for investment units of mutual funds are strongly advised to always verify transaction confirmation documents to
of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its client activity oversight was insufficient to effectively verify the identity of clients or their
. Check and balance system. By appointing a person who will monitor and inspect for the misuse of the client’s assets such as: 3.1 Compliance or other assigned person who will inspect and verify the
the misuse of the client’s assets such as: 3.1 Compliance or other assigned person who will inspect and verify the movement of money and assets of the fund, and approve money and asset transferring for
additional due diligence extension. The meeting has considered that the due diligence period was appropriate and enough to verify all information, therefore, the meeting disapproved such extension period. SIRI
หนา้จอ Submit ใหค้ลิก Verify เพื่อใหร้ะบบตรวจสอบขอ้มูลก่อนส่ง (Simple Validation) 2.9. ถา้ไม่พบขอ้ผดิพลาดในขั้นตอน Simple Validation ระบบจะแสดงขอ้ความ ‚Your selected report on ….. passed validation
managing the client’s assets as prescribed under Clause 4(1), the SEC Office shall inspect and verify the client’s assets by taking the following actions: (1) inspecting the client’s assets under possession