นางสิริวิภา สุพรรณธเนศ รองเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมบรรยายในงานสัมมนาเรื่อง The State of Play In Sustainability Assurance จัดโดย ASEAN Federation of
requirement in the identification and verification process for the onboarding clients who already have relationship managers elsewhere outside the premise or the clients who have a life-time ID card without
) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties
workshop to exchange information on cyber scams as well as identification and examination of crypto nominee accounts for representatives from public and private sectors. On this occasion, Ms. Jomkwan
work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
business, which also reduces redundant identification processes. As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be
identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management
500,000 baht the law requires, he was fined at such amount.In addition, as Chai is a director of Bangkok Life Assurance PCL, which is a Limited Brokerage, Dealing and Underwriting (LBDU) licensee, he is
listed company requires different identification documents from the shareholders at the AGM, especially those who are foreign juristic persons. For example, some companies may require a certificate from a