Re:Rules, Conditions and Procedures Governing the Posting of NP, NR, and DS Signs
By virtue of Clause 2 of the Regulations of the Stock Exchange of Thailand Re: Rules, Conditions and Procedures Relating to the Trading of Listed Securities in the Stock Exchange, Permission for Members to Trade Listed Securities Outside the Stock Exchange and the Settlement and Delivery of Listed Securities Traded in the Stock Exchange, dated June 26, 1992, the Stock Exchange of Thailand hereby issues the following Regulations:
Clause 1.In this Notification
"Listed company" means a listed company under the Regulations of the Stock Exchange of Thailand Re: Rules, Conditions and Procedures Governing the Listing and Delisting of Securities.
"NP", which stands for "Notice Pending", means a sign which notifies investors that the listed company has a message or information to be explained or reported to the Exchange.
"NR", which stands for "Notice Received", means a sign which notifies investors that the listed company has explained or reported the message or information to the Exchange.
"DS", which stands for "Designated Securities", means a sign which notifies investors that the trading of listed securities through the securities trading system has been made at a price or in a volume at a certain period of time which deviates from the normal condition of the securities trading without reasonable grounds and where the Exchange has conducted a preliminary examination and found a practice which may lead to the commission of offences under the laws on securities and stock exchange.
Clause 2.When any one of the following events occurs, the President or his designated person may post NP sign on the securities board so as to notify investors that the listed company has a message or information to be explained or reported to the Exchange:
(1)The listed company does not submit financial statement or other reports to the Exchange within prescribed period.
(2)The Exchange is awaiting additional explanation or report from the listed company, or the message or information received from the listed company is not sufficiently complete or clear.
Clause 3.When the clear message or information under Clause 2 has been fully received by the Exchange and been released to investors, the President or his designated person shall remove the NP sign from the securities board and post NR sign in its place so as to notify investors that the listed company has explained or reported the message or information to the Exchange.
Clause 4.In cases where the price or volume of the trading of any listed securities through the securities trading system deviates from its normal condition without reasonable grounds and the Exchange has conducted a preliminary examination and found a practice which may lead to the commission of offences under the laws on securities and stock exchange, the President or his designated person may post DS sign on such securities' board so as to warn investors to take precaution in dealing with such securities.
Clause 5.When the DS sign is posted on the securities board, the member shall proceed according to the Notification of the Stock Exchange of Thailand Re: Rules on the Purchase or Sale of Listed Securities of Members in cases Where the DS Sign Has Been Designated.
Clause 6.When the Exchange sees that the posting of the DS sign has prevented the practice which might lead to the commission of offences under the laws on securities and stock exchange to a considerable extent, the President or his designated person may remove the DS sign from such securities' board.
This Notification shall come into force on the 5th day of October 1994.
Notified on this 23rd day of September 1994.
(Signed) Seri Chintanaseri
(Seri Chintanaseri)
President
By virtue of Clause 2 of the Regulations of the Stock Exchange of Thailand Re: Rules, Conditions and Procedures Relating to the Trading of Listed Securities in the Stock Exchange, Permission for Members to Trade Listed Securities Outside the Stock Exchange and the Settlement and Delivery of Listed Securities Traded in the Stock Exchange, dated June 26, 1992, the Stock Exchange of Thailand hereby issues the following Regulations:
Clause 1.In this Notification
"Listed company" means a listed company under the Regulations of the Stock Exchange of Thailand Re: Rules, Conditions and Procedures Governing the Listing and Delisting of Securities.
"NP", which stands for "Notice Pending", means a sign which notifies investors that the listed company has a message or information to be explained or reported to the Exchange.
"NR", which stands for "Notice Received", means a sign which notifies investors that the listed company has explained or reported the message or information to the Exchange.
"DS", which stands for "Designated Securities", means a sign which notifies investors that the trading of listed securities through the securities trading system has been made at a price or in a volume at a certain period of time which deviates from the normal condition of the securities trading without reasonable grounds and where the Exchange has conducted a preliminary examination and found a practice which may lead to the commission of offences under the laws on securities and stock exchange.
Clause 2.When any one of the following events occurs, the President or his designated person may post NP sign on the securities board so as to notify investors that the listed company has a message or information to be explained or reported to the Exchange:
(1)The listed company does not submit financial statement or other reports to the Exchange within prescribed period.
(2)The Exchange is awaiting additional explanation or report from the listed company, or the message or information received from the listed company is not sufficiently complete or clear.
Clause 3.When the clear message or information under Clause 2 has been fully received by the Exchange and been released to investors, the President or his designated person shall remove the NP sign from the securities board and post NR sign in its place so as to notify investors that the listed company has explained or reported the message or information to the Exchange.
Clause 4.In cases where the price or volume of the trading of any listed securities through the securities trading system deviates from its normal condition without reasonable grounds and the Exchange has conducted a preliminary examination and found a practice which may lead to the commission of offences under the laws on securities and stock exchange, the President or his designated person may post DS sign on such securities' board so as to warn investors to take precaution in dealing with such securities.
Clause 5.When the DS sign is posted on the securities board, the member shall proceed according to the Notification of the Stock Exchange of Thailand Re: Rules on the Purchase or Sale of Listed Securities of Members in cases Where the DS Sign Has Been Designated.
Clause 6.When the Exchange sees that the posting of the DS sign has prevented the practice which might lead to the commission of offences under the laws on securities and stock exchange to a considerable extent, the President or his designated person may remove the DS sign from such securities' board.
This Notification shall come into force on the 5th day of October 1994.
Notified on this 23rd day of September 1994.
(Signed) Seri Chintanaseri
(Seri Chintanaseri)
President