information from SET, which acts as the first-line inspector to detect suspicious trading activities. AMLO then takes over the investigation of financial transactions to facilitate asset-related legal actions

and its directors to clarify the matter, including the aforesaid suspicious issues, and will consider legal action in due course. To protect investors’ interest and ensure that investors will have

futures trading, they should deal with companies that are licensed by the SEC only. Investors can view the licensee list at the SEC's website (www.sec.or.th) and report any suspicious activities or

(3) {K}, who neglected inspection and failed to comply with the bank's internal control system, causing the suspicious issues in the dishonest acts to evade inspection. The SEC has therefore banned the

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

(“Mandarin”). This transaction is classified as the connected transaction with the following details: The transaction date : After the approval from the Board of Directors’ meeting. The connected parties

businesses and investors, preparing a set of common offering rules classified by risk and complexity levels of products to boost flexibility in offering new products and services, and introducing a new

standard (including interbank and money market items) amounted to Baht 194,135.8 million, increased by Baht 35.5 million when compared to the end of 2020. Loans to Customers Classified by Business Sector

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