Line "ผู้แนะนำการลงทุน (เลขที่ทะเบียน IC 048919)" impersonate "Investment Consultant with approval Identification number 048919" : Unlicensed securities and derivatives business (Disclosure Date : 06

, identification number, bank account number and contact information. Instead, the AMCs practically make the payment out of the fund by issuing cheques to PVD members after being notified by their employers about

) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties

of the relationship with clients (on-going KYC/CDD). Clause 9. In conducting the KYC/CDD process pursuant to Clause 8, securities company is required to perform the following:- (1) identify the

clients (on-going KYC/CDD). Clause 9. In conducting the KYC/CDD process pursuant to Clause 8, securities company is required to perform the following:- (1) identify the client’s true identity (client

following:- (1) identify the 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

September to the 15th day of December of the year when such approval will expire. Please enter search criteria. Name - Surname Or Approval Identification Number Specify Name or Surname Specify Approval

another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or affiliates, they may be presented in business groups; - In case

แนวทางของสมาคม enhanced KYC/CDD โดย identify & verify ตามแนวทางที่สมาคมกําหนด - รวบรวมขอมูลเพิ่ม - verify เพิ่มจากแหลงที่เช่ือถือได - การประเมินมาตรการ AML/CFT (กรณีลูกคาที่เปนสถาบันการเงินตางประเทศ

workshop to exchange information on cyber scams as well as identification and examination of crypto nominee accounts for representatives from public and private sectors. On this occasion, Ms. Jomkwan