ในการให้บริการลงทุนในตลาดทุน ผู้ประกอบธุรกิจตัวกลาง เช่น บริษัทหลักทรัพย์ (บล.) บริษัทหลักทรัพย์จัดการลงทุน (บลจ.) จะต้องทำความรู้จักผู้ลงทุนหรือลูกค้า ที่เรียกว่า Know Your Client (KYC) ก่อนเริ่ม
derivatives trading orders to make up the record of receiving those orders. In addition, Napat had been authorized by a client to make securities trading decisions and he confirmed the trading transactions to
, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from
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