investment.  The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge

, guidelines, service provider supervision, risk management, and business continuity measures.  However, outsourcing does not discharge business operators from responsibility in the outsourced activities

relevant to its core or non-core businesses upon conditions that they have an apparent outsourcing policy, measures, criteria, and service provider control system.  Outsourcing however does not discharge

related receipt and payment transactions, and the accounting records practice. The company was also required to examine the issue raised by the auditor whether the questionable transactions of land sales

business operators providing bond securities business services to examine and ensure that the ultimate beneficiary owners (UBO) register for their authentication with the BOT before providing the

required to examine the issue raised by the auditor whether the questionable transactions of land sales and purchases were in line with the normal course of business operation.Concurrently, the SEC

whether they are in accordance with the advertising and associated rules as well as be approved by CEO before publication. After publication, company’s compliance unit must monitor and examine all

, registrars, depositories and regulators – to examine bond information more conveniently and rapidly while benefiting from less redundancy and shorter timeframe for book closing process.    ThaiBMA’s

from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow:            (1) In the case of {A}, she was found to fail to examine the correctness of

assets comes with high risks. Those who are interested in investing must have knowledge and ability to take risks in investment losses. In a case of persuasion for investment, investors should examine