บัญชีที่สำคัญ รวมถึงการตอบสนองต่อประเด็นปัญหาที่เกิดขึ้นใหม่ในช่วงที่ผ่านมา พร้อมด้วยการจัดงาน AARG Inspection Workshop ครั้งที่ 8 ต่อเนื่องสองวัน ในวันที่ 17-18 มิถุนายน 2564 โดยมีนางสาวรื่นวดี สุวรรณ
accounts without proper scrutiny of their financial potential through Know Your Customer (KYC) and Customer Due Diligence (CDD) processes. The allocation of TIGER shares, with supporting promotional
sound etc. The FA scrutiny includes the opinions in relation to asset acquisition and disposition as well as related-party transactions. However, some listed companies may have improper behavior. The IB
required to set up an efficient complaint handling system in support of daily operation. Concurrently, the SEC employs a risk based approach to scheduled and/or random inspection as well as case-by-case
working for Asia Plus Securities Co., Ltd. at the time of misconduct.Following the inspection report submitted by Asia Plus Securities and the subsequent examination conducted by the SEC, it was found that
service increased from the same period of previous year of 2.41 Million Baht, accounting for 16.71% as the project of interval inspection for NGV lorry truck and increased number of Radiographic Examination
Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain