an account with, they should seek verification from the firm before making any transactions.? Before making decision to use any wealth management services, investors can check the list of licensees and
requirement in the identification and verification process for the onboarding clients who already have relationship managers elsewhere outside the premise or the clients who have a life-time ID card without
participation in this regulatory sandbox is expected to solve issues in corporate bond market. This includes the issue of time-consuming process for verification of bondholders’ ownership and the lack of
know-your-customer requirement or e-KYC via online methods. The use of authentication and verification under the National Digital ID (NDID) system will make it convenient, quick and reliable to open
Foreign Currency 17/01/2017 16/02/2017 2. Notification of the Office of the Securities and Exchange Commission SorOr. 6/2557 Verification of Foreign Collective Investment Scheme and Announcement of
public by such securities companies and derivatives broker. In this regard, the SEC Thailand assumes no responsibility for verification, examination or certification of completeness, accuracy and update of
of due diligence and know-your-client assessments (DD/KYC), (3) supporting electronic non-face-to-face identity verification, and (4) allowing businesses to access anonymized data under possession of
-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains
level of transparency, requiring that the post issuance verification of the issuer’s performance against these targets be made publicly available. This can consequently expose the issuer’s strategy, goal