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Please be informed that as of now the Notifications beginning with “Gor” and “Jor” have been changed to “Kor” and “Chor” respectively.


  Type Title Section See Document Status Notified Date Effective Date
1. Notification of Capital Market Supervisory Board  TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codified)  (6324) 06/09/2013 01/04/2014
Notification of Capital Market Supervisory Board  TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries 06/09/2013 01/04/2014
  Notification of the Office of the Securities and Exchange Commission   Sor Thor. 14/2558 Rules in Detail on the Protection and Management of Conflicts of Interest (Synopsis) 07/04/2015 01/10/2015
  Notification of the Office of the Securities and Exchange Commission   SorThor. 7/2557 Rules on Appointing Independent Director of an Intermediary 03/06/2014 01/07/2014
  Notification of the Office of the Securities and Exchange Commission   Sor Thor. 68/2558 Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary 13/08/2015 16/09/2015
  Notification of the Office of the Securities and Exchange Commission   Sor Thor. 35/2557 Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Synopsis) 10/10/2014 01/01/2015
  Notification of the Office of the Securities and Exchange Commission   Sor Thor. 15/2558 Rules in Detail related to Proprietary Trading of Intermediaries 07/04/2015 16/05/2015
  Notification of the Office of the Securities and Exchange Commission   Nor Por. 1/2558 Guidelines for Determining Policies, Measures and Operating Systems concerning Acts That May Cause Conflicts of Interest with Clients 07/04/2015
  Notification of the Office of the Securities and Exchange Commission   Nor Por. 2/2558 Guidelines for Determining Policy and Operating System for Supervision of Proprietary Trading of Intermediary 07/04/2015
  Report/Form (Notification of Securities and Exchange Commission) Single Form for Capital Market (Individual) 20/08/2020 01/07/2021
  Report/Form (Notification of Securities and Exchange Commission) Single Form for Capital Market (Juristic Investor) 20/08/2020 01/07/2021