. Persuasion to invest with falsely high return in a short period may be regarded as deception to investors. SEC would like to warn investors to take caution and inspect details before making an investment
Bitcoins worth approximately 797 million baht. SEC is working closely with the enforcement personnel to investigate further details and examine whether there is any violation of laws governing securities and
AIMC members join the group efforts to monitor and inspect listed companies that may fail to comply with the ESG criteria, guided by the AIMC ESG Policy and Collective Action and the Negative List, which
technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an
inspection of information technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In
seminars held by various organizations and overseas secondment programs on IT audit field. - 09 - Summary of Audit Inspection Results A. Firm Level Excellent quality control system within the audit firms is
handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
less than five years. In the first two years, those information and documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification