Statistics of Criminal Actions (As of 31 December 2023) Cases Persons Cases Persons Cases Persons Cases Persons Fraud 0 0 3 17 0 0 3 14 Fail to exercise duty of care 0 0 - - 0 0 - - Disclosure of
, investor, or other market participant. 2.2 A CRA and its employees should use care and professional judgment to maintain and objectivity. 2.3 factors relevant to assessing the creditworthiness of the rated
for the audit firms to recruit and retain staff • Skilled non-CPAs professional resources in demand, including forensic experts • Offshoring of services: noted by a call participant as currently not too
. Investment scams and fraud • Describe the main features of common investment scams and frauds. • Identify the sources available for information on reported investment scams and frauds. • Recognise if a tactic
otherwise) of the action on the CRA, a rated entity, obligor, originator, underwriter, arranger, investor, or other market participant. 2.2 A CRA and its employees should use care and professional judgment to
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allowing someone else using a securities trading account or a banking account, fraud by management, market manipulation, and insider trading) are which DSI has a responsibility for. Is imposed by the
, “Strengthening Good Corporate Governance by Audit Committee and Independent Director: Experiences from Fraud Cases” to discuss samples of fraud cases taking place around the world and to raise the awareness of the
เสียหายท่ีเกิดขึน้จาก operational risk2 (ย้อนหลัง 5 ปี) (บาท) 25 ... 25 ... 25 ... 25 ... 25 ... 1. ความเส่ียงจากการทุจริตภายใน (internal fraud) 2. ความเส่ียงจากการทุจริตภายนอก (external fraud) 3. ความ
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...