Rules and Regulations

Overview

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SET has clear and transparent rules and regulations governing securities listing that take into account the quality of the securities and the information disclosure practices of the issuing companies to ensure that investors have equal, fair, and timely access to sufficient information. SET also has regulations governing the delisting of unqualified securities.

Enforcement
When the Stock Exchange of Thailand considers an act to be in violation of SET rules and regulations, the enforcement unit will investigate the matter, gather and forward all evidence involved to the Disciplinary Sub-Committee, who will consider the entire matter, take any necessary action according to the disciplinary processes, and impose any appropriate punishment for the wrongdoing.


If a disciplinary order is issued and the disciplined party does not agree with it, the disciplined party may file an appeal through the appeal process, which will be reviewed by the Appeal Committee, who will then submit its decision to the SET Board of Governors for further consideration.

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Disciplinary and Appeal Process
The disciplinary and appeal process is conducted by SET’s internal departments.


Disciplinary Sub-Committee

Appeal Committee

Disciplinary actions

Enforcement
When the Stock Exchange of Thailand considers an act to be in violation of SET rules and regulations, the enforcement unit will investigate the matter, gather and forward all evidence involved to the Disciplinary Sub-Committee, who will consider the entire matter, take any necessary action according to the disciplinary processes, and impose any appropriate punishment for the wrongdoing.


If a disciplinary order is issued and the disciplined party does not agree with it, the disciplined party may file an appeal through the appeal process, which will be reviewed by the Appeal Committee, who will then submit its decision to the SET Board of Governors for further consideration.

more Vector

Disciplinary and Appeal Process
The disciplinary and appeal process is conducted by SET’s internal departments.


Disciplinary Sub-Committee

Appeal Committee

Disciplinary actions

Market Consultation
SET engages listed companies and other market participants in a consultation process and takes their views and suggestions into account when revising the market’s rules and regulations.

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