deception to customer or may make them misunderstand in any material aspects. Clause 27. Derivatives broker shall arrange to have complaints handling system, report of customer complaints and result of the

, and identifying and assessing risk of fraud and response to those risks. Example 4 : The disclosure checklist did not contain current disclosures as required by other regulatory bodies such as the SEC

the audit engagement. The weighted score of some risk factors may not appropriate; e.g., to allow the score of risk of fraud equal other risk factors. However, the SEC would like to recommend some

being punished or legally proceeding against for management in the manner of deceit, fraud or dishonesty relating to offences against property as specified as prohibited characteristic in Group 2 under

characteristic in Group 1 under Clause 29; (2) having a record of being punished or legally proceeding against for management in the manner of deceit, fraud or dishonesty1 relating to offences against property as

of securities business, derivatives business or trustee business liable to be considered as deception or defrauding the public. Section 289 in conjunction with Section 90 Section 125 in conjunction

Company still had 6. Consolidated Financial Status Management’s Discussion and Analysis (MD&A) for year 2017 14 scrap steel left and they may be considered misappropriate, fraud or stolen approximately THB

had 6. Consolidated Financial Status Management’s Discussion and Analysis (MD&A) for year 2017 (Revised) 14 scrap steel left and they may be considered misappropriate, fraud or stolen approximately THB

ทีเ่กีย่วขอ้ง SEC Open data services E-enforcement • Corporate surveillance system - ความสมัพนัธบ์คุคล / นติบิคุคล - Fraud • AI-enforcement - พฤตกิรรมสรา้งราคา - พฤตกิรรมผดิปกติ • Off-site monitoring: - ผปก

or offences related to deceit, fraud or dishonesty; (6) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is