Set Sustainability Report 2014

63 / 122

63
Cash Balance
124securities
Exchange
The Market
A measure to require the full upfront cash deposits
for securities trading. This measure will be applied in
cases where there is fluctuation in securities trading
during the day and high manipulating efforts, likely
to affect securities trading in general. In 2014, such
a measure was enforced against 254 cases, involving
124 securities.
In 2014, SET improved supervision of irregular trading, by upgrading efficiency and risk prevention under
the measures of trading alert list and cash balancing, including prohibition of net settlement.
As for securities subject to the turnover list * of the SEC, SET will require securities companies to place
100% cash deposit before securities trading, or trade through cash balance account for six consecutive weeks.
Nonetheless, if the trading via cash balance still shows any irregularity, subject to the trading alert list,
SET will enforce the trading alert list measure.
* Turnover list refers to any securities that show the daily trading turnover in excess of THB 100 million
and the turnover ratio in excess of 20% in a particular weekly period.
254cases