Microsoft PowerPoint - SEC IC Slides for Unusual Transactions v4 Final 130324 26 มีนาคม 2567 โดย วารุณี ปรีดานนทท์ี ทปีรึกษาการกาํกบัดูแลกิจการ งานบริหารความเสียง ตรวจสอบภายใน ESG และ GRC ทปีรึกษากา

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

buy securities in the manner that risked their financial status and payment ability Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21

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 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

their ability to https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional%20Investor%20Responsib...

their ability to https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional%20Investor%20Responsib...

frameworks do not unduly constrain their ability to https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional%20Investor%20Responsib...

not unduly constrain their ability to https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional%20Investor%20Responsib...