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

เกินกว่าฐานะทางการเงินของลูกค้า (2) พิจารณารายงานธุรกรรมที่มีเหตุอันควรสงสัย (Suspicious Transaction Report: STR) ไปยัง สำนักงาน ปปง. เช่น เมื่อ บล. พบความผิดปกติในการโอนเงินเข้าบัญชีลูกค้าและมีการโอนออก

transfers of shares from accounts under the same name held with other operators in amounts exceeding the customer’s financial capacity; (2) Consider submitting Suspicious Transaction Reports (STRs) to AMLO in

number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of

number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of

75 percent or more of its total number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75

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