, 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
Public Company Limited 49,433,806 8.65 4 Nomura Securities Co Ltd-Client A/C 23,344,331 4.08 5 Unicentral Company Limited 21,218,182 3.71 6 Smbc Nikko Securities Inc. - Client Account 20,220,550 3.54 7 Mr
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...
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
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
collateral placement for a client's KTB securities trading account. Panadda was responsible for the said trading account and she also had a personal relationship with the client who was the account owner. She