Exchange Commission have suggested investment in the offered units of the CIS; nor contain any assurance in relation to the value or returns on the offered units of the CIS; nor shall certify the accuracy
represents that the Securities and Exchange Commission, the Capital Market Supervisory Board or the Office of Securities and Exchange Commission have suggested investment in the offered units of the CIS; nor
. 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
ลูกค้า (KYC/CDD Process) เมื่อลูกค้าเปิดบัญชีหรือเริ่มทำธุรกรรมเป็นครั้งแรก รับทำธุรกรรม /เปิดบัญชี เกี่ยวข้องกับฟอกเงิน /ไม่ให้ความร่วมมือ verify ข้อมูลเพิ่มเติม (เฉพาะบางกรณี) ไม่ใช่ ใช่ identify
accordance with the relevant rules and for the work unit responsible for post-trade operation to confirm the securities buying or selling with the counterparty promptly. Clause 8 A securities company shall be
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
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
at least once a month in order to verify the accuracy of the client’s asset account. For client’s assets that are not under its custody, the securities company shall set up a system to access an up-to
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