/insufficient disclosed information Inefficient workflow Others, please specify………………………………………………………………………… Investment Consultant: Conducting personal trades through the clients' accounts and the trades cause

frequently initiate short-term engagements with companies when we discover that they are poorly rated by our external research providers who specialize in environmental or social risks. Often, we learn that a

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

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

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. Even though the relationship between clients and

Bangkok, April 30, 2015 ? Chalee Chantanayingyong, Acting SEC Secretary-General, said that the SEC urges the public to learn of investment in capital market for saving growth and secured the future

year, everyone is welcome to visit the SEC booth presented under the theme ?Be Smart, Ask First? at SET in the City 2014.At the SEC booth, visitors will learn to ask the right questions to gain more

different withdrawal sequencing scenarios. Among the possible outcomes are an efficient scenario, a “split” scenario, and an “inefficient” scenario. The efficient scenario represents the most efficient

A New Year Gift 2023 to the public, “SEC Crypto Academy” is designed as an online channel for the public to learn fundamental knowledge on digital assets, gain a better understanding of risks related