finished within such period, the securities company shall maintain records of such action until all complaint handling procedures are completed. In cases where giving of advice, accepting of trading orders
the haircut shall be tested on a regular basis and the validity of the haircut calculation method shall be reviewed at least once a year; (8) determination of methods for identification and reduction of
calculation method shall be reviewed at least once a year; (10) determination of methods for identification and mitigation of risks relating to the acceptance of cross-border collateral to ascertain that such
) a copy of identification card or passport; (Translation) -2- (b) documents indicating the change of first name or last name (only documents indicating changes since becoming sui juris). The
and opportunities 2) Impact on organization 3) Resilience of strategy 1) Risk identification and assessment processes 2) Risk management processes 3) Integration to overall risk management 1) Climate
): ...................................................................................................... Tax Identification No. (if any): ............................................................................................................... Nationality
professions, etc. Prosperous growth with international recognition The SEC is a member of the International Forum of Independent Audit Regulators (IFIAR) and the ASEAN Audit Regulators Group (AARG) organization
หัวข้อมาตรฐานการพิสูจน์และยืนยันตัวตนของไทย 2 การกำหนดมาตรฐานขั้นต่ำในการพิสูจน์ตัวตนข้างต้นนั้น เพื่อให้การรวบรวมและตรวจสอบ ข้อมูล หลักฐานของลูกค้า (identification และ verification) มีคุณภาพเพียงพอที่จะ
-bank listed companies. Promoting SEC Effective Growth and International Recognition The SEC is committed to improving the audit oversight system in the capital market to be in line with the international
oversight system is on the path toward international recognition and the reliability of the financial reporting quality of listed companies shall therefore ensue. We have been welcomed as a member of the