developing existing software to accommodate digital asset trading surveillance, detect anomalies, identify demeanors and gather and prove evidence, and to promote the use of class action and establish an

Criminal Code. A referral from the Stock Exchange of Thailand stated that irregularities in the trading of FOCUS shares had been detected in relation to trading activities of a certain group of persons. The

referral from the Stock Exchange of Thailand (SET), irregularities were detected in relation to the trading activities of such shares by a certain group of persons. An SEC subsequent investigation revealed

the raids on companies connected to Suriya, Somphong and Somchai. Reasonable evidence indicated that the irregularities of METRO, TUCC and SECC shares were caused by the trading activities of the three

this case also revealed that there were weaknesses in UBS?s internal control and compliance systems which failed to detect the irregularities in this matter which had continued for over nine months. The

and analyze irregularities related to suspicious transactions. SEC Secretary-General Ruenvadee Suwanmongkol said: “This is the first time that SEC has laid out a capital market digital strategic plan

, regular review of documents received from the intermediaries could help to spot any possible irregularities early. In case of any suspicious incident, investors should contact the compliance unit so that

Bond Market Association (ThaiBMA) and the Bank of Thailand (BOT), to exchange information and enhance systems for detecting and alerting irregularities or risks in various areas. Leveraging technology

July 2016. {X1} later revised and improved the working system of its securities business and set up more efficient measures for preventing and detecting irregularities thereof.Investors are strongly

each provision of the IOSCO CRA Code is of conduct deviate from the IOSCO CRA Code and how such deviations nonetheless achieve the objectives laid out in the IOSCO CRA Code and the IOSCO CRA Principles