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 |
| 2010 |
|
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 |
|
|
18/03/54
|
1 Trader of SCIB |
Placing number of matched orders (Wash Sales) where the buyer and the seller to the transaction are the same person (False Market) |
18/03/2010- |
-Notification Re: The Authorized Officers in the Securities Trading System, 2000 : Clause12(1)(5) |
Prohibition from trading |
 |
|
18/03/54
|
SCIB |
Failing to oversee and supervise the trading officers to ensure that they strictly complied with SET’s regulations |
18/03/2010-
27/04/2010 |
-Regulations Re: Trading, Clearing and Settlement of Securities in the Exchange (No.2), 1999: Clause 8 Paragraph 3 |
Probation 1 year |
