appearing in the documents and evidence used for opening of the account, including identification of the customer’s identity, source of funds used for derivatives trading and the real beneficiary of the

of the account, including identification of the customer’s identity, source of funds used for derivatives trading and the real beneficiary of the customer. Clause 19. Derivatives broker shall arrange

of the account, including identification of the customer’s identity, source of funds used for derivatives trading and the real beneficiary of the customer. Clause 19. Derivatives broker shall arrange

shall be sufficient measures to ensure that a client is the same person as the one appears on the application document, verify identification of the client, the beneficial owner and the person controlling

in writing. There shall be sufficient measures to ensure that a client is the same person as the one appears on the application document, verify identification of the client, the beneficial owner and

in writing. There shall be sufficient measures to ensure that a client is the same person as the one appears on the application document, verify identification of the client, the beneficial owner and

ปฏิบัตินี้ ทั้งนี้ รายละเอียดดังกล่าวได้แก่เรื่องดังต่อไปนี้ (1) แนวทางปฏิบัติในการนำเทคโนโลยีมาใช้ในการทำความรู้จักลูกค้า (ก) การพิสูจน์ตัวตน (Identity proofing) (ข) การยืนยันตัวตน (Authentication) (ค) การ

เอียดตามท่ีก าหนดในภาคผนวกท่ีแนบทา้ย ประกาศแนวปฏิบติัน้ี ทั้งน้ี รายละเอียดดงักล่าวไดแ้ก่เร่ืองดงัต่อไปน้ี (1) แนวทางปฏิบติัในการน าเทคโนโลยมีาใชใ้นการท าความรู้จกัลูกคา้ (ก) การพิสูจน์ตวัตน (Identity

. 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

in operation but changing identity or office after being raided and charged by the SEC. Investors should therefore take precaution and not making any investments with companies not licensed by the SEC