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
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
characteristics into account: (1) Any behavior indicating any act or omission to act in bad faith or by gross negligence in relation to undertaking any transaction of the company or its subsidiary resulting in
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
such property is transformed into a different form or state, except the acquisition of the property was done in good faith and for value, providing further that the person acquired that property did not
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
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