suspicious trading and actively monitors the required filings of listed companies. Its primary avenues for enforcing its rules are enquiries, warnings, and suspending or halting trading. It can also bring

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

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

(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

, fraudulent or dishonest act, or having an application for an offer for sale of newly issued securities rejected by the SEC Office on a suspicious ground related to disclosure of information to the public and

was found to be suspicious and defective in many aspects. For example, (a) the investment consultant who affixed the signature in the requisition form for share transfer from client account was not the

Annual Report 2006 Khon... the classical masked drama since the Ayudhya period (A.D. 1350-1767). It is performed to the epic of Ramayana, which portrays the war between Rama (the Righteous King) and Totsakan (the Demon King), the Conquer of Good over Evil. Khon masks... headdresses worn by Khon performers, the single most important character-identifying piece of Khon costume. The masks, now an invaluable export item, epitomize the exquisite beauty and unique elegance of Thai fine arts. In Suppor...

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

internal control system, causing the suspicious issues in the dishonest acts to evade inspection.  The SEC has therefore banned the three offenders from performing duties as branch manager in the capital

of newly issued securities rejected by the SEC Office on a suspicious ground related to disclosure of information to the public and such information was incomplete, contrary to facts, insufficient for