relevant examinations. If an examination on ethics was not required for the entrance application, the applicant must pass such examination this time. − ✓ ✓
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
) supporting electronic non-face-to-face identity verification, and (4) allowing businesses to access anonymized data under possession of governmental agencies for the development of financial products and
/ regulatory action 5. Advertising, raising customer awareness • One state regulator describes their role as making advisors reveal their “verification of misconduct” (costly verification) • Conditional on a
operators, for example, the number of shares held, shareholding proportion, trading account numbers. Verification data: Data for verification purposes, for example, trader codes. Work Areas Personal Data
. If an examination on ethics was not required for the entrance application, the applicant must pass such examination this time. ✓ ✓ ✓ (UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval