characteristics and natures of transactions to be regarded as “suspicious transactions;” (2) have in place monitoring systems to promptly identify or detect suspicious transactions; (3) arrange to have proper

securities company must: (1) determine characteristics and natures of transactions to be regarded as “suspicious transactions;” (2) have in place monitoring systems to promptly identify or detect suspicious

following:- (1) identify the 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

; Failure to audit advance accounts; and Failure to audit payroll, consulting fees, and social security contributions. As a result, Ms. Sulalit failed to detect material misstatements in the

analysis, applying AI and Machine Learning technologies to detect irregular transactions, and improving the effectiveness of misconduct prevention and investor protection.In 2025, the SEC will continue to

systems; (11) inspect records and evidence to detect potential issues arisen from the use of cloud service. 16 3.2. establish the service agreement between the cloud provider and the intermediary under

systems; (11) inspect records and evidence to detect potential issues arisen from the use of cloud service. 3.2. establish the service agreement between the cloud provider and the intermediary under Clause

unable to contact or identify PVD members. Therefore, in order to accommodate AMCs in making payment out of the fund to PVD members in accordance with the aforementioned law and in managing unclaimed

the National Digital ID Project, in addition to an adoption of technology-based inspection to increase efficiency of market supervision through the E-enforcement Project, which uses technology to detect

monitoring business operation of invested companies closely and actively enough to be able to detect any potential issue at an early stage. If an issue is found in an invested company, for example, the