-Translation- REGULATIONS OF THE STOCK EXCHANGE OF THAILAND Re: Trading of Securities through Online System B.E. 2554

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1 REGULATIONS OF THE STOCK EXCHANGE OF THAILAND Re: Trading of Securities through Online System B.E By virtue of the second paragraph (8) and (9) of Section 170 of the Securities and Exchange Act B.E (A.D. 1992), the Board of Governors of the Stock Exchange of Thailand hereby issues the following regulations: 1. These Regulations shall come into force on June 7, The following shall be repealed: (1) The Regulation of the Stock Exchange of Thailand Re: Trading of Securities through Internet System, 2005 dated March 22, (2) The Regulation of the Stock Exchange of Thailand Re: Trading of Securities through Internet System (No. 2), 2006 dated June 30, (3) The Regulation of the Stock Exchange of Thailand Re: Trading of Securities through Internet System (No. 3), 2009 dated March 23, The trading of securities through online system in accordance with this Regulation means securities trading, which customers can perform through the Member s system, where the authorized officer shall not intervene in the entry of the customers trading orders except where the customers request. Such system must have the functions that meet the standards of the SET. Online trading 4. The trading of securities through online system may be made only on the main board, the odd lot board and the foreign board by Automated Order Matching (AOM). The trading of securities through online system under paragraph one shall be the same as securities trading under the following regulations of the SET to the extent not contrary to or inconsistent with this Regulation: Boards for trading and methods of trading (1) the SET Regulation regarding trading, clearing and settlement of securities in the SET; (2) the SET Regulation regarding trading on the main board; (3) the SET Regulation regarding trading on the odd lot board; and (4) the SET Regulation regarding rules, conditions and procedures in relation to trading on the foreign board. 5. The Member shall allow its customers to enter their trading orders online through the Member s system only upon approval by the SET. Allowing customers to enter trading orders online 141

2 6. In submitting an application for approval under clause 5, the Member shall act as described below. (1) The Member shall submit an application and documents or media showing the details of the program in the Member s system linked up with the equipment used in online trading as prescribed by the SET. The Member must certify that its system is operating in a manner which is not in violation of and is in accordance with the regulations of the SET governing trading, does not cause damage to the trading system and has the functions that meet the standards as prescribed by the SET. Application for approval and use of a program (2) The Member must arrange for the system developer or a provider of examination service for programs to examine and certify that the program under (1) is operating in a manner which is not in violation of and in accordance with the regulations of the SET governing trading and does not cause damage to the trading system. Such certification must be made in the form as prescribed by the SET. (3) The Member shall have the readiness to provide online securities trading as follows: (a) having a program in the Member s system which is linked up with the equipment used in online trading, which is operating in a manner that is not in violation of and is in accordance with the regulations of the SET governing trading, and does not cause damage to the trading system; (b) having the security management and control which meets the standards prescribed by the SET as follows: (b.1) having a security system at the installation site of the Member s equipment for providing online securities trading service (Physical Security); (b.2) having a network security system to prevent unauthorized persons from entering the system and from being able to acquire or change data obtained from trading (Network Security); (b.3) having an authentication system to confirm that the customer is using the system by himself as well as customer privacy protection (User Authentication and Privacy); and (b.4) having an information security standard. the SET; and (c) (d) having an order screening system that meets the standards of other matters as prescribed by the SET. 7 In the case the Member makes any change or alteration to its program approved under clause 6, the Member must submit an application and documents or media showing the details of the program as prescribed by the SET and shall certify that such change or alteration will not cause the functions of the program to be in violation of and to not be in accordance with the regulation of the SET governing trading and will not cause damage to the trading system. Alterations of the program 142

3 In addition to the actions under paragraph one, where the Member will make any change or alteration to the matters described below, it must obtain approval from the SET and arrange for the system development or the provider of examination service for programs to examine and certify that such change or alteration will not cause the functions of the program to be in violation of and to not be in accordance with the regulations of the SET and will not cause damage to the trading system. Such certification shall be made in the form prescribed by the SET. Changes which must be approved by the SET (1) change of the system developer; (2) change of the program technology; (3) change of the network provider; (4) change of the network architecture; (5) change of the functional specification of the Member s system linked up with the equipment used in the trading through online system; (6) change or alteration of the security management; (7) change of the location of the server for the provision of online securities trading service; and (8) other matters as prescribed by the SET. 8 The Member shall arrange for its system to screen the trading orders of customers prior to entering as bids and offers in the trading system. Examination of trading orders In entering such bids and offers under paragraph one, the Designated Trader ID shall also be specified. 9 The Member may use the Program Trading software online only upon approval from the SET. Use of Program Trading 10 The Member must ensure that the customer: (1) will not use any other program than the Member s program linked up with the equipment used in the online trading system as approved by the SET; Rules with which the customers must comply (2) will not allow any other persons to link their equipment to the equipment used by the customer in online trading, which enables such person to enter trading orders in the Member s system. The Member shall be liable to any damage incurred to the trading system, which resulted from allowing the customer to enter trading orders in the Member s system in all cases. 11 Where the customer s trading orders violate or fail to comply with the regulations of the SET, resolutions of the SET Board of Governors, and the circulars of the SET governing trading, the Member shall perform any or many of the following acts: 143 Steps taken by the member in case of the violation of the Exchange s regulations by customers

4 system; (1) notify the customer not to enter such trading orders in the trading (2) cancel such trading orders of the customer; or (3) suspend the provision of online trading service to the customer. 12 In order to supervise the use of systems or programs under clause 6, the SET may undertake the following acts: (1) inspect the Member s program or system; (2) order the Member to change or alter the Member s program or system; or Supervision of the use of systems or programs (3) prohibit the Member from using Member s program or system within a period of time as the SET deems appropriate. 13 In order to supervise the entry of online trading orders of customers, the Member must act as follows: (1) provide a system to enter trading orders in the Member s system, which meets the standards of the SET; Supervision of the entry of customers trading orders (2) provide a customer privacy protection measure; (3) provide a protection and control measure to prevent other persons from entering trading orders for the customers, except where there is a disruption causing the customers to be unable to enter their trading orders into the Member s system, the customers may assign the authorized officer to enter such orders on their behalf; (4) store data in relation to the entry of trading orders of customers in accordance with the standards of the SET, where the Member must be able to classify the channels or methods used by the customers in making bids and offers and submit such data to the SET upon its request; and (5) ensure that the customers acknowledge and comply with the regulations of the SET, the resolutions of the SET Board of Governors and the SET circulars regarding the entry of trading orders online, including restrictions in relation to the entry of inappropriate trading orders. 14 In the case of any changes in the trading system or any issuance of, or changes to, the regulations of the SET, the resolutions of the SET Board of Governors and the SET circulars regarding trading, the Member shall test its system as notified by the SET. Computer program testing 15 In order to ensure that the trading of securities online under this Regulation will be in order and appropriate, the SET shall determine the standards in relation to online securities trading for the Member to comply with to the extent not in conflict or inconsistent with this Regulation. Issuance of standards for the Member s operations 144

5 16 The provisions in the regulations of the SET governing trading, clearing and settlement of listed securities, resolutions of the SET Board of Governors and the SET circulars in relation to such regulations shall be applied to the trading of securities to customers trading online, to the extent not in conflict or inconsistent with this Regulation. Mutatis mutandis application of provisions 17 Securities trading in the form of basket order may be made online provided that it is not the bid or offer intended to be traded at the market price. The provisions of the SET regulation governing securities trading in the form of basket order shall apply to securities trading under this Regulation. Basket order trading through the online system Notified on this 3 rd day of June (Signed) Sompol Kiatphaibool (Mr. Sompol Kiatphaibool) Chairman of the Board The Stock Exchange of Thailand Rationale of promulgation: As the SET deems it expedient to improve the rules for online securities trading to provide more convenience and to support the development of service provision of the Member which will lead to liberal competition, it is deemed expedient to issue and enforce this Regulation. 145

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