with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective system for Know Your Customer and
investors. This single form proposal would facilitate standardized filing of customer profiles and increase investors’ convenience. Based on the previous stakeholders consultation on the governing principles
-Your-Customer/Customer Due Diligence: KYC/CDD system, causing the company to be fined by the Settlement Committee at the amount of 1,101,000 baht. Moreover, the SEC has suspended approval of two AEC
shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain
operation system shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment
month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core work systems of AEC, especially the Know-Your-Customer/Customer Due Diligence: KYC
supporting the collection and assessment of customer information for Bitkub to operate its business efficiently. DAB Act S.30 Settlement Committee Meeting No. 7/2021 Settlement Committee Order No. 2/2021
” means a sale of securities which must be borrowed for delivery; 2“client” means a person who enters into an agreement to borrow money from a securities company for purchasing securities, or a person who
. Revenue from Salesforce CRM contributed the most with an increase of 60.92 Mb or 35.3% followed by Oracle ERP of 59.22 Mb or 77.3%. Our newly setup business units drove Marketing Cloud and Customer