Set Sustainability Report 2014

False Market

Trading Alert List

SET

SMART

148

cases

securities

460

alerts

SET has enforced measures to supervise and prevent irregular trading or inappropriate trading instructions,

or those considered as offences, according to the securities trading regulations of SET or any applicable

laws, which shall be considered as unfair practices. These are, for instance, the use of inside information,

manipulation of securities prices, and releases of rumors or false information, etc. SET adopts a real-time

securities trading supervision system, or Warning Abnormal Trading & Catching Hostile System (WATCHs).

Should there be any irregular trading transaction, which can be considered as an offence, SET will take action,

as follows:

A measure to handle cases where securities

trading faces fluctuation during the day. There

may be information that has not been realized

by investors. SET will announce a list of securities

subject to Trading Alert at day-end through

SETSMART system and SET website for prudent

attention among investors. SET enforced such

measures in 148 cases, involving 73 securities

in 2014.

A measure to prevent inappropriate trading transaction

that may lead to manipulation of securities prices.

There will be notification to member companies

likely to submit inappropriate trading transaction for

both equity and derivatives instruments. There were

460 False Market alerts in 2014.

Supervision of trading procedures