) of a company whereas collective action is usually just collection of independent votes that are in the same direction for a motion. Concert party rules will only apply where investors are seeking to
to the general public stipulating the period for consideration and making of order with respect to the issuance of license and granting of approval under this Act. SECTION 6 All rules, regulations
approval under this Act. SECTION 6 All rules, regulations, notifications, directives or stipulations issued under this Act by the SEC or the SEC Office which are of general application shall come into force
probation or public reprimand, it shall be in accordance with the following criteria: (1) the violation or non-compliance with the rules in undertaking business shall be subject to the administrative fine; (2
Fund Act, the Derivatives Act, or the rules prescribed by the Securities and Exchange Commission, the Capital Market Supervisory Board, the Office, the Board of Directors of the SET, or the SET; (2) The
statement; (4) re-examining and reviewing in the compliance of rules; (5) supervising the internal examining unit; (6) performing any other duties assigned by the SEC. In the execution of the duties under the
derivatives position” means to discharge an obligation or terminate rights under derivatives an equal and opposite trade which results in an offsetting of the position or by any other means under the rules of a
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as