, e.g., the SEC's internal database, financial statement analysis, annual report analysis, and news on listed companies. Under the holistic risk-based approach, workpapers inspection can cover risky

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

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

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

ตองผานตัวกลาง 1) เสนอขายตราสารหนี้ทุกประเภทแบบ PO 2) เสนอขายตราสารหนี้ที่มีความซับซอน/ ความเสี่ยงสูง (“ตราสารหนี้ complex/risky”)1 ตอ HNW 1) เสนอขายตราสารหนี้ทุกประเภทตอ II 2) เสนอขายตราสารหนี

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