List of securities which fulfilled the market surveillance criteria
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List of securities which fulfilled the market surveillance criteria
Level 1 : Cash Balance
Security Symbol Start date End date
OCEAN COMMERCE PUBLIC COMPANY LIMITED OCEAN 11-March-2019 19-April-2019
Warrant of OCEAN COMMERCE PUBLIC COMPANY LIMITED No. 3 OCEAN-W3 11-March-2019 19-April-2019
Extended Period
- - - -
Level 2 : Excluded from credit limit and Cash Balance
Security Symbol Start date End date
- - - -
Extended Period
- - - -
Level 3 : Prohibit Net settlement, Excluded from credit limit and Cash Balance
Security Symbol Start date End date
- - - -
Extended Period
- - - -
Remark:
1. Cash balance means each member must ensure that its customers pay the full amount in cash prior to trading.
2. Excluded from credit limit means the member must not use the security as collateral in the calculation of the customer s credit line in all types of account.
3. Prohibit Net Settlement means the member must not offset the trading value of buy amount and sell amount of a certain security on a given day. (The amount received from sale of the particular
security will be credited back on the following day.)
Please note that the main factors used as criteria for the restricted securities above are the turnover ratio, the trading value and the price not corresponding with the fundamental factors such as
P/E ratio, etc.
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