were sufficient and effective as a quality control measure. In today’s complex business environment and with even more complicated business transactions, sufficient supervision by highly experienced

complicated, and for the most part the existing laws do not cover all new ways of committing an offense in the capital market. Legal provisions applied to some cases are unclear and open to interpretation

หลักทรัพย์ราย {ข}  {ค} และ {ฆ} มีผลตั้งแต่วันที่ 11 มีนาคม 2557ก.ล.ต. ตรวจสอบการดำเนินงานตามปกติ (routine inspection) บริษัทหลักทรัพย์ คันทรี่ กรุ๊ป จำกัด (มหาชน) (บล. คันทรี่) พบว่า {ก} นักวิเคราะห์การ

case of movement or changes in transactions. This significantly decrease the time of each process because each activity in the Capital Market has complicated process and steps regarding document

has ended to maintain the benefit of continuous saving.?The post-retirement issue is getting more complicated as the society is moving toward longer lifespan and higher living costs especially medical

involving with complicated transactions, audit works need competent audit teams under quality assurance system. To lift up confidence in the Thai capital market, audit firms should place priorities on

signs MOU with Central Institute of Forensic Science to increase efficiency in testing evidence of offenses in the capital market. capital market are complicated and finding the evidence is difficult

rules also cover trading and prohibition of trading securities through certain methods and during specified periods of time. In addition, routine audit is done on reporting of such securities holdings and

yes, describe how the firm communicates its policies and procedures to personnel. a) informal dialogue b) training seminars c) meetings d) mission statements e) newsletters f) memorandums g) routine e

{ก} ต่อไป ก.ล.ต. พบการกระทำผิดดังกล่าวจากการเข้าตรวจสอบบริษัทหลักทรัพย์ {หนึ่ง} จำกัด (มหาชน) ตามแผนงานตรวจสอบตามปกติ (routine inspection) โดยพบความบกพร่องในระบบงานการทำความรู้จักลูกค้าและตรวจสอบเพื่อ