business operators providing bond securities business services to examine and ensure that the ultimate beneficiary owners (UBO) register for their authentication with the BOT before providing the
& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate
manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions
the relevant regulation*. The SEC is also proposing to stipulate a minimum Authentication Assurance Level (AAL) for clients’ online transactions via the company’s system based on associated risks
NDID มีเวลาในการทดสอบและพัฒนาระบบที่เพียงพอ ก.ล.ต. จึงเห็นควรขยายเวลาของการมีผลใช้บังคับออกไปอีก 1 ปี เป็นวันที่ 1 ม.ค. 2564 นอกจากนี้ เพื่อยกระดับมาตรฐานการยืนยันตัวตน (Authentication) สำหรับการทำ
method, as well as to increase the trustworthiness in the identification and authentication process for onboarding customers that could boost the standard of performing e-KYC in the capital market. The
Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3
securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior
contact and assigned to work for the company. Such trader later sent several trading orders in the client's account without authorization or contrary to the client's orders, causing damage to the client