director or executive of juristic person listed on the Securities Exchange or traded in any over-the-counter center who contravenes Section 307 308 309 310.) ​   Q: What level of suspicion and severity of

information, fairness and compliance ? there must be no grounds of suspicion regarding the issuer's intention to avoid regulatory compliance or exploit investors ? and integrity of directors and executives who

that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to

the manner that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate

distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to-date. Also, the

warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance

that they are issued by the servicing securities company. In case of suspicion, investors should contact the compliance officer of the securities company without delay. In any case, investment

supporting declaration of identity and additional documents in case of reasonable suspicion concerning investor’s qualifications. Securities company shall revise investor’s information under the first

suspicion that such amount of money belongs to the client; (2) Securities: (a) segregating by depositing with a securities depository center or the Bank of Thailand by clearly indicate that such securities

of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without suspicion that such amount of money belongs to the client; (2