the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and
client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources
identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices
ปฏิบัตินี้ ทั้งนี้ รายละเอียดดังกล่าวได้แก่เรื่องดังต่อไปนี้ (1) แนวทางปฏิบัติในการนำเทคโนโลยีมาใช้ในการทำความรู้จักลูกค้า (ก) การพิสูจน์ตัวตน (Identity proofing) (ข) การยืนยันตัวตน (Authentication) (ค) การ
availability of engagement partners and audit staff? If yes, please describe 2 Do the identity and role of the engagement partner are communicated to key members of client management and those charged with
on the operation of intermediaries, investors, and confidence in the capital market. Senior management, therefore, has an important role in managing the implementation of information technology in the
processes to ensure that the client is the same person whose identity appears in the evidentiary documentation of an application for doing business transactions with the securities company , and verify the
photocopies of identity cards / photocopies of passports of the persons applied for approval; O photocopies of house register appearing the names of persons applied for approval; O photocopies of educational
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
is using the online service; 2. the management company has an operating system to verify the identity of the investor; (d) security system for customer information and other important information