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Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of

. In this regard, the frequency in reviewing shall depend on the level of client’s risk; (2) review client’s existing records and gather further information, if it is found that or there is a

Rules in Detail on Establishment of Information Technology System

Rules in Detail on Establishment of Information Technology Systems

Thailand on irregular trading in SLC shares during March 31 - April 29, 2010, the SEC probed into the case and found records kept by the suspects regarding the details of the group trading in SLC shares

information of Montri Fund scheme and fund prospectus, the SEC probed into the case and found that he inaccurately specified the age of a building purchased by Montri Fund which was, in fact, many years older

the company to disclose information, extend the scope of special audit, and notify investors; and cooperating with relevant law enforcement agencies. We have, so far, made substantial progress in the

According to a case referral from the Stock Exchange of Thailand (SET), it was revealed that TRC executives had known or possessed inside information, as expressed in the auditor’s opinion, about TRC

frequency in reviewing shall depend on the level of client’s risk; (2) review client’s existing records and gather further information, if it is found that or there is a circumstance where :- (a) there is a