หัวข้อ due diligence หน้า 1 บทนำ ในการจัดเตรียมข้อมูลของบริษัทมหาชนจำกัดเพื่อให้มีความพร้อมในการออกและเสนอขายหลักทรัพย์ต่อประชาชน ที่ปรึกษาทางการเงินจะต้องศึกษาข้อมูลของบริษัทที่ออกหลักทรัพย์หรือที่
misappropriated the client’s money by forging the client’s signature, revising the client’s significant information to access the client’s mobile banking account and transferring money from the client’s account
had misappropriated the client’s money by forging the client’s signature, revising the client’s significant information to access the client’s mobile banking account and transferring money from the
according to the investor’s orders. She also counterfeited the investor’s signature to apply for an ATM card for the banking account the investor had opened for the purpose of accepting redemption money
premises of a service provider, investors should not pay in cash and should transfer the payment directly to the account of the service provider to prevent possible damage from frauds
client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own
.; (2) Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that
30 days from the approval date. The SEC Office will consider the registration of Company Account in a normal case (no expiry) in due course). Wish to apply for change of information in Company