recommended to deal with the said insufficiency; (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard
. In addition, the SEC has recommended the ASCO to revise its KYC/CDD guidelines as well as propose the guidelines for securities transfer between clients so as to prevent fraudulent activities or
) against offenders, including foreign platforms such as Binance* and Bybit Fintech Limited (Bybit)**Additionally, the SEC has suggested the investors withdraw their assets from those unlicensed platform
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
recommended to grant loans for investment in the businesses that prospective borrowers have no expertise because business operators can be tempted to make short-term profits from investment in the businesses
international standards on combating money laundering and the financing of terrorism & proliferation as recommended by the Financial Action Task Force (FATF), thereby removing Thailand from the blacklist of
sustainable development. Hence, a ?CHANGE? was recommended along with adjustment of goal setting with new perspective of processes to reach such goal. This will certainly facilitate financial sector and the
of rules monitoring listed companies. Meanwhile, investors are suggested to consider several factors in making investment decision in listed companies. The third study on purchase of shares by persons
redeemed the investment units of Bualuang Long-Term Equity Fund (B-LTF) as suggested by the bank's officers The redemption was in breach of a condition on investment unit holding period of at least 5
for investment decision making; such as key financial ratios in comparison with information of other companies in the similar industry. The report will not, however, provide any recommended price. The