orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading

securities transfer forms several times instead of the ones officially recorded on the client database, and affixed signature as branch manager to approve certain securities transfers.Phillip Securities

เทคโนโลยีมาช่วยในการทำความรู้จักลูกค้า  ปัจจุบัน ก.ล.ต. กำหนดหลักเกณฑ์เกี่ยวกับการทำความรู้จักลูกค้า (Know Your Client : KYC) ของผู้ประกอบธุรกิจหลักทรัพย์และสัญญาซื้อขายล่วงหน้า ในลักษณะที่เป็นการกำหนด

systems for custody of client assets and Know Your Customer (KYC) were inconsistent with the standards accepted by the Anti-Money Laundering Office.As a result of the application rejection, Coin Asset

documents and conducted client due  diligence in accordance with the law on money laundering suppression and other relevant laws. In cases where shareholders? representatives or proxies are other types of

markets.  The draft notification also specifies the details of the service agreements, for example, the provision on receiving client orders, where the business operators and the clients can agree on the

affected client.  Nuchanart’s demeanors above were wrongful acts against investors, which were deemed failure to perform duties or give services with loyalty in accordance with the Notification of the

Client : KYC) ซึ่งเป็นผู้มีถิ่นที่อยู่ในต่างประเทศ (Non-resident) เพื่อให้ทราบผู้ได้รับผลประโยชน์ที่แท้จริง ขณะที่บริษัทหลักทรัพย์ที่ให้บริการดูแลและเก็บรักษาตราสารหนี้ (local custodian) ต้องดำเนินการเพื่อ

trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital

to disclose the material information on the investment policy before offering it to the client. For a pooled fund, AMC is additionally required to disclose the PVD factsheet to the fund members and