suspicious trading behaviors of a UBS employee who was responsible for executing securities trading for or on behalf of its clients, all of which are institutional clients.  According to the SEC findings

investment consultants not to submit inappropriate trading orders in a manner that inflates or manipulates share price. When investment consultants find that any client's order is suspicious, he or she must

9 In the cases it appears to the SEC Office a fact causing any of the following suspicious grounds, the SEC Office may not grant an application for an offer for sale of structure notes: (1) the

security of the computer server. In a case appeared that having operate or alter abnormally the parameter, it shall be improve and report instantly. [M] · Providing a service as necessary. In case of

method or compliance guideline for inspect the security of the computer server. In a case appeared that having operate or alter abnormally the parameter, it shall be improve and report instantly. [M] o

Account. In the event that any other persons know and are able to log into Company Account, the SEC Office shall not be liable for any damage incurred in all cases; 5. Upon occurrence of any suspicious

investment solicitation and contact the Investment Scam Hotline if they have suspicious cases to report regarding persons, products or companies allegedly operating without license. The SEC will verify and

increase training programs for the analysts on the techniques to identify suspicious transactions in the financial statements presumed to be falsified, leading to the ability to analyze abnormalities in

(EGM) via attendance and veto against suspicious connected transactions. The Thai Investors Association (TIA) continued its proactive work in assessing AGMs and representing retail investors. The

incurred in all cases; 5. Upon occurrence of any suspicious ground that the Password becomes known to other persons who have no authority or relevant responsibilities, the Applicant shall change the Password