, 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
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
), due to higher contribution of C-Vitt and COVID-19 impact. Higher proportion of C-Vitt in total portfolio distorted the overall gross margin as C-Vitt operates under joint venture model so profit is
. 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
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
expectation on returns – Modern investors have highest expectation on returns – However, these are distorted probably by their fault believes. (e.g. Cash holders view stocks as having lower returns than deposit
, “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
securities and exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients; (5) in the case of
distorted, incorrect or misleading to the clients; (5) in the case of giving information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as