persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall provide a sufficient

cloud provider’s services in compliance with Clause 9(2)(c), the intermediary should take additional steps as follows:| (1) monitor the service performance and IT security of the cloud provider to verify

balance among personnel of such units. By at least not entrust any person to perform the duties throughout the entire operation process as it may lead to corruption. Clause 8. A securities company shall

ลูกค้า (KYC/CDD Process) เมื่อลูกค้าเปิดบัญชีหรือเริ่มทำธุรกรรมเป็นครั้งแรก รับทำธุรกรรม /เปิดบัญชี เกี่ยวข้องกับฟอกเงิน /ไม่ให้ความร่วมมือ verify ข้อมูลเพิ่มเติม (เฉพาะบางกรณี) ไม่ใช่ ใช่ identify

. 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

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

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

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

client is the same person as the one appearing in the documentation in support of the application, and verify the identification of the client, the beneficial owner, and the person controlling the