SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
are not the SET members will be allowed to send trading orders through the SET ?s trading system in cases where such system is linked with others, such as that of foreign exchanges. Also included in
) Trading system service providers, i.e., Electronic Trading Platform (ETP), and the newly added securities trading center and derivatives exchange
According to the SEC’s findings, XT .COM has provided a digital asset trading system to facilitate trading and exchange of digital assets while charging fees. Additionally, it has promoted and
Stock Exchange of Thailand (SET) trading system. Any person, who knows or ought reasonably to know that placing of orders to a trading system may create the price or trading volume of securities to be
internet trading system. On that date, the SSI opening price was at 0.37 baht and remained unchanged until {A} started trading. His trading inflated the SSI share price to 0.41 baht, the highest level of the
market. Investor contacts are obliged to send trading orders into the Stock Exchange of Thailand's trading system properly and not get involved in any wrongdoing. Any investor contact who fails to comply
ecosystem that integrates the DA trading system regulated by the SEC with the e-money system regulated by the Bank of Thailand (BOT). The project includes appropriate risk management measures and follows Know
. The total granted rectification period lasted for five months and 12 days. The key work systems for business operation that the company failed to rectify were the trading system, the asset custody