Microsoft PowerPoint - SEC IC Slides for Unusual Transactions v4 Final 130324 26 มีนาคม 2567 โดย วารุณี ปรีดานนทท์ี ทปีรึกษาการกาํกบัดูแลกิจการ งานบริหารความเสียง ตรวจสอบภายใน ESG และ GRC ทปีรึกษากา
basis after the AGM meeting has been held. This postponement option is pursuant to the Notification of the Department of Business Development regarding Measures for Handling the Spread of COVID-19 in
SEC Secretary-General Ruenvadee Suwanmongkol said that the ongoing spread of COVID-19 is affecting some securities companies and derivatives business operators to the point that it is necessary to
the trading of SCIB-C1 during such period was in a dispersal manner through various brokers. It was neither abnormal nor considered as having price manipulation involved. However, the SEC has requested
preventive measures on risk arising from abnormal trading as follows: Shares prohibited from margin loan and net settlement should be applied only to 1. shares with one-week turnover ratio of 100% or over
The SEC?s inspection found that clients of brokers in Had Yai had used non-financial institution loans for purchasing stocks, therefore required all brokers to closely monitor abnormal activities as
, the rules, which are currently in effect, should be revised with respect to maintenance of NC in case of abnormal increase in transaction volume of the business operator to the effect that the
market positively reacted to debenture issuances with abnormal profit. The said finding was based on the trade-off theory under which costs and benefits debt financing are weighted. If the benefits
proceedings.WIN price manipulation: In another SEC?s investigation which probed into the abnormal trading of WIN shares during March 10-24, 2006 (11 working days), it was found that Suwanna Maneesawat, Pornpat