/2543 Re: Custody of Client Assets of a Securities Company (codified as of 28/03/2002) (Synopsis) 04/01/2000 01/04/2000 2. Notification of Capital Market Supervisory Board TorThor 9/2551 Custody of
complaint inspection report from Apple Wealth Securities, the SEC has investigated further and found that Pisist had solicited a client to trade securities to earn the set interest rate of 8 percent within
accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's
, or opening a digital wallet for the purpose of using digital assets as a means of payment for goods and services, etc.; (2) In the case where a digital asset business operator finds that a client
check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The
.; (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
quarter in 2017. The reason of a decline of total revenue in the consolidated financial statement is the result of the reduction of advertising budget amount of THB 39 million from the client of a
by conducting the process of Know Your Client (KYC) so that they can provide appropriate services. Nowadays, an electronic KYC or e-KYC has been introduced to make KYC processes faster and become
. For example, data storage system, management system and custody of client assets. This is to promote flexibility in business operation while ensuring that supervisory guidelines are appropriate and