while maintaining public confidence in the SEC's accountability. Communication with Stakeholders 1. Education and Dissemination of Information The SEC has established various two-way communication
price quotation and securities trading, system for surveillance of securities trading, and system for clearing and settlement of securities, which promote and maintain the integrity, efficiency and
and will acquire another 19% in 2020 with the total investment of THB 613 million. Unit: THB mn 1Q19 1Q18 Change Hotel business 1,171 1,364 -193 -14.1% Education business 118 122 -4 -3.3% Food business
1,008 -214 -21.2% 2,778 3,327 -549 -16.5% Education business 91 98 -7 -7.1% 286 301 -15 -5.0% Food business 98 7 91 1300.0% 310 15 295 1966.7% Others 638 7 631 9014.3% 942 300 642 214.0% Total revenue
9M18 Change Hotel business 794 1,008 -214 -21.2% 2,778 3,327 -549 -16.5% Education business 91 98 -7 -7.1% 286 301 -15 -5.0% Food business 98 7 91 1300.0% 310 15 295 1966.7% Others 638 7 631 9014.3% 942
trial); (3) procure an efficient market surveillance system which shall include at least the following requirements: (a) an information recording system that provides accurate and up-to-date unique
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
ขาย (trading rule) และแนวปฏิบัติในการกำกับดูแลการติดตามและตรวจสอบสภาพการซื้อขาย (market surveillance) ให้มีความเหมาะสมตามสภาพความเสี่ยง เพื่อให้มีการเปิดเผยข้อมูลอย่างเพียงพอต่อการตัดสินใจซื้อขาย รวมถึง
(c) the back office agreed to execute such transaction even though the contact phone number was not the one given by the client; (3) surveillance system to prevent conflicts of interest: the
เก่ียวขอ้ง Goal เช่ือถือได้ : Trust & Confidence S6. Effective enforcement 19,266,500 42 จดัหาระบบ Market Surveillance ส าหรับสินทรัพยดิ์จิทลั 19,266,500 จดัหาระบบ Market Surveillance ของสินทรัพยดิ์จิทลั