trainings Monitoring process to ensure the staff’s fulfillment of training requirements has been increasingly more important due to the fast-changing business environment and professional standards. Thus, the
risk management system for unit selling and purchasing was defective, and the internal audit and internal control systems as well as the compliance system were inefficient. Besides, the bank failed to
/insufficient disclosed information Inefficient workflow Others, please specify………………………………………………………………………… Investment Consultant: Conducting personal trades through the clients' accounts and the trades cause
the internal audit and internal control systems as well as the compliance system were inefficient. Besides, the bank failed to place importance in the handling of its data management system or
Investing in future contract require investor to deposit certain asset with the derivatives broker for securing the fulfillment of futures contract by the investor. However, the amount of assets placed as an
financial. 3. Risk of loss beyond initial margin Investing in future contract require investor to deposit certain asset with the derivatives broker for securing the fulfillment of futures contract by the
- on-year by Baht 1.21 million or 7.65%. It was mainly due to a decrease in donation to NSTDA by Baht 1.79 million upon the Company’s fulfillment of the charitable donation requirement of the investment
inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions. Even though the relationship between clients and employees was found out, the
) surveillance system to prevent conflicts of interest: the system was found to be inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions