Disciplinary Proceedings
The Stock Exchange of Thailand shall circulate to all members with a consideration
on breaches of the rules and regulations where the publication can also be found at www.setsmart.set within “News” topic.
Duration |
|
A consideration of offence and disciplinary action of Disciplinary Sub-Committee |
| 2009 |
|
The Consideration of Offence and Disciplinary Action of Disciplinary Committee |
Date of Announce |
Offender |
Nature of act |
Date of offence |
Regulations/ Notifications of SET that were violated |
Disciplinary Committee’s decision |
|
|
11/08/53
|
1 Trader of UOB |
Using another user’s Trader ID to conduct trades and disclosing trader ID to unauthorized trader |
9/09/2009- |
-Regulations Re: Trading, Clearing and Settlement of Securities in the Exchange (No.2), 1999: Clause 8 Paragraph 1 |
Probation 6 months for disclosing trader ID |
 |
|
11/08/53
|
UOB |
Failing to oversee and supervise the trading officers to ensure that they strictly complied with SET’s regulations |
9/09/2009-
15/10/2009 |
-Regulations Re: Trading, Clearing and Settlement of Securities in the Exchange (No.2), 1999: Clause 8 Paragraph 3 |
Probation 1 year |
