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
regulations under Chapter 4; (5) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (6) provisions of communications and services related to any capital
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examination of the working paper and the audit quality control system and specify the list of working papers to be examined; - On-site inspection, notify and confirm the issues found verbally; - Consider the
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changed after that date. ……………….(name of securities company)…………… does not confirm nor certify the accuracy of such survey result
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