{ก} ต่อไป ก.ล.ต. พบการกระทำผิดดังกล่าวจากการเข้าตรวจสอบบริษัทหลักทรัพย์ {หนึ่ง} จำกัด (มหาชน) ตามแผนงานตรวจสอบตามปกติ (routine inspection) โดยพบความบกพร่องในระบบงานการทำความรู้จักลูกค้าและตรวจสอบเพื่อ
Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection
regard, {C} admitted giving advice and taking the client?s trade orders via mobile phone.The SEC found {D} case during its routine inspection that showed her failure to record some of her advice and
revenue from sale of product at the amount of Baht 843. 54 million which was not a regular transaction. Consequently, gross profit increased Baht 84. 42 million or 198. 18% from the corresponding period of
function via the DRC site in case of longer-than- expected failure of the main system. Regular https://www.sec.or.th/EN/Documents/AnnualReport/pb_ar_2007.pdf Annual Report 2006 media channels such as
main system. Regular https://www.sec.or.th/EN/Documents/AnnualReport/pb_ar_2007.pdf 18035195.pdf sectors consists of Big Coroporate and Corporate Loan, SMEs and SME Loan, and Retail Loan. 3. Fianancial
approval to lessen burdens of the capital market auditor, provided that the knowledge, skills and quality of work are evaluated by SEC on a regular basis.In addition, TDRI has presented the draft proposal
companies via the SET on a regular basis, but also to make use of the auditor's report and the financial statements ("Key Audit Matter? or ?KAM") to support their investment decision-making. They should also
? roles and duties, inspection and result evaluation, regular development of members? knowledge, and capability to generate sufficient returns on investment for members? well-being after retirement.In this
, regular review of documents received from the intermediaries could help to spot any possible irregularities early. In case of any suspicious incident, investors should contact the compliance unit so that