competencies in information screening and rationale assessing, including the skills to detect red flags in financial statements etc. Mr. Somphop Keerasuntonpong, Chairman of the Board of Directors, Investment

to identify the clients and the true beneficiaries and did not reconsider appropriate credit lines for the clients in accordance with the law. Such neligence exposed the company to risk whereby

financial position and investment knowledge. In addition, the company failed to take sufficient measures to identify the clients and the true beneficiaries and did not reconsider appropriate credit lines for

regulation. Key highlights included: (1) Utilizing AI to detect suspicious trading behaviors and potential misconduct, aimed at promoting transparency and strengthening investor protection, and (2) Building an

was sufficient and appropriate with regard to the audit of the revenue and the accrued income which were material to the financial statements, causing her to fail to detect the fictitious revenue and

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