big loss of money. In making an investment through a securities company, investors must transfer the subscription money to the securities company’s account only. In case of suspicion of trading

Ministry of Finance. The approval criteria include clear disclosure of information, fairness and compliance ? there must be no grounds of suspicion regarding the issuer's intention to avoid regulatory

that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to

the manner that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate

distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to-date. Also, the

that they are issued by the servicing securities company. In case of suspicion, investors should contact the compliance officer of the securities company without delay. In any case, investment

warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance

cases where reasonable grounds for suspicion exist. For example, where a securities company identifies unusual fund transfers into a customer’s account followed by transfers out on the same day, without

supporting declaration of identity and additional documents in case of reasonable suspicion concerning investor’s qualifications. Securities company shall revise investor’s information under the first

suspicion that such amount of money belongs to the client; (2) Securities: (a) segregating by depositing with a securities depository center or the Bank of Thailand by clearly indicate that such securities