verify whether solicitors have been approved by the Minister of Finance or the SEC. In case of suspicious, unlicensed securities business operation, please call SEC Hotline 1207 for further inspection

viewed under ?Investor Alert List? banner.  The SEC Help Center also welcomes public assistance and report on suspicious scams or unlicensed activities to help us pursue further investigation. The Center

to be true": If someone is offering unusually high investment returns with little to no risk, or claims it's a “limited-time” or “exclusive opportunity", always be suspicious.·       Do not

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 investment consultant

clients. In addition, a certain share transfer from a client account was found to be suspicious and defective in many aspects. For example, (a) the investment consultant who affixed the signature in the

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

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