business, which also reduces redundant identification processes. As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be
identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management
Identification And Beneficial Ownership For The Securities Industry และ Anti-Money Laundering Guidance for Collective Investment Schemes จึงขอเปิดโอกาสให้บริษัทหลักทรัพย์และผู้ประกอบธุรกิจ http://law.sec.or.th
other laws outside the SEC’s jurisdiction, the SEC will coordinate with relevant authorities to take an appropriate action.The SEC urges the public and investors to exercise caution when using services of
have the right according to criminal justice process to clarify and present information and evidence to the respective authorities. In any case, the filing of a criminal complaint commences the criminal
at developing the Thai digital asset market. This includes coordinating with relevant authorities on tax matters and amending legislations related to digital assets and oversight regulations in the
projects must be prepared and explored with a view to assessing the project?s commercial viability to create proper returns for investors. In this connection, interested authorities are welcomed to discuss
expedited the process of verifying suspicious scam reports and promptly notify relevant authorities to shut down fraudulent contents or channels used for investment scams. Under this initiative, the SEC has
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