ส่งรายงานแสดงทรัพย์สินของลูกค้าและใบยืนยันรายการซื้อขาย (confirmation statement) 23/01/2552   หนังสือเวียน ที่ กลต.ธ.(ว) 54/2549 เรื่อง การซักซ้อมความเข้าใจกรณีการแจ้งรายชื่อเจ้าของหลักทรัพย์กรณีที่มี

for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and

and transfer securities in the clients? accounts into those of other clients who were related to herself to seek personal gains.In addition, Pornthip filled in different confirmation phone numbers on

make trading orders on his or her behalf, the investor must issue a written power of attorney and should examine the trading confirmation documents regularly. _____________________________ * Clause 23

transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended

case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents

) 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

ตรวจสอบข้อมูลก่อนส่ง (Simple Validation) 2.11 ถ้ำไม่พบข้อผิดพลำดในขั้นตอน Simple Validation ระบบจะแสดงข้อควำม “Your selected report on ….. passed validation, please press submit to continue” ให้คลิกปุ่ม