declining to clients . Clause 12 A securities company shall not mislead its counterparty regarding material facts of securities trading by refraining from disclosure of information, distortion of information
for the disclosure according to its duties. (4) Not to make presentation which will guarantee profit or return at a certain rate or the loss shall not be more than the rate already specified, except for
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
who have suitable knowledge and ability for the duty; (2) Disclosure of information that is necessary for making investment decision to the client including investment risk, fees or expenses, conflict
client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources
ปฏิบัตินี้ ทั้งนี้ รายละเอียดดังกล่าวได้แก่เรื่องดังต่อไปนี้ (1) แนวทางปฏิบัติในการนำเทคโนโลยีมาใช้ในการทำความรู้จักลูกค้า (ก) การพิสูจน์ตัวตน (Identity proofing) (ข) การยืนยันตัวตน (Authentication) (ค) การ
. the operating procedures that meet the internationally-accepted information security standards; 3. measures on IT security, access control, and information disclosure; 4. audit of the cloud provider’s
photocopies of identity cards / photocopies of passports of the persons applied for approval; O photocopies of house register appearing the names of persons applied for approval; O photocopies of educational
Office of Securities and Exchange Commission No. OrThor. 6/2549 Re: Guidelines for Preparing a Risk Disclosure Statement for Futures Trading. Clause 21 of the Notification of the Office of Securities and
is using the online service; 2. the management company has an operating system to verify the identity of the investor; (d) security system for customer information and other important information