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-------------------------- Main topic -------------------------
Securities Issuance and Takeover
Asset Management
Securities Brokerage/Dealer/Underwriter and Financial Advisors
Marketing
IP/FG
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Accountants and Auditors
Executives of securities companies and personnel in securities business
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and
-------------------------- Sub-topic -------------------------
Securities Issuance
Takeover
Approval
Mutual Fund
Private Fund
Provident Fund
Venture Capital Fund Management
Derivatives Fund Manager Business
Executives/Major Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors
Securities Brokerage
Securities Dealer
Securities Underwriter
Securities Borrowing and Lending
Limited BDU
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Approval and Standards Practice
Code of Conduct
Fees
Related Circular Letter
Appoint/Approval/Code of conducts and Standard Practices
Reporting
Fees
Related Circular Letter
Ombudsmen Procedures
Register of Ombudsmen
Presented Certificate Ombudsmen Logo
Related Circular Letter
Appointment/Approval/Code of conducts and Standard Practices
Reporting
Fees
Related Circular Letter
Notifications related to Accountants and Auditors
Notifications related to Listed Companies
Notifications related to Securities Companies
Fund Rating Agency
Bond Dealer and Underwriter
Others (Securities Business)
Derivatives Agents
Derivatives Dealer
Stock Exchange/Futures Exchange
TSFC/IDB
Approval and Qualifications
Approval and Standards Practice
Code of Conduct
Fees
Related Circular Letter
Securities Brokerage Business
Business Operation Rules
Securities Underwriter Business
Business Operation Rules
Securities Dealer Business
Business Operation Rules
Securities Borrowing and Lending Business : SBL
Securities Finance
Derivatives Agent
Derivatives Dealer
Stock Exchange
Derivatives Exchange
Derivatives Clearing House
Securities Registrar
TSD
Association of business
Collective Investment Scheme
Private Equity Trust
Wealth Advice Service
Wealth Advice Service
Digital Token Offering
Digital Asset Intermediaries
Clearing House
Securities Registrar
Major Shareholders
Executives
Derivatives Agent
Securities Issuance
Takeover
Approval
Mutual Fund
Private Fund
Provident Fund
Venture Capital Fund Management
Derivatives Fund Manager Business
Executives/Major Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors
Securities Brokerage
Securities Dealer
Securities Underwriter
Securities Borrowing and Lending
Limited BDU
Investment Advisory
Derivatives Advisors
Approval and Standards Practice
Code of Conduct
Fees
Related Circular Letter
Appoint/Approval/Code of conducts and Standard Practices
Reporting
Fees
Related Circular Letter
Ombudsmen Procedures
Register of Ombudsmen
Presented Certificate Ombudsmen Logo
Related Circular Letter
Appointment/Approval/Code of conducts and Standard Practices
Reporting
Fees
Related Circular Letter
Notifications related to Accountants and Auditors
Notifications related to Listed Companies
Notifications related to Securities Companies
Fund Rating Agency
Bond Dealer and Underwriter
Others (Securities Business)
Derivatives Agents
Derivatives Dealer
Stock Exchange/Futures Exchange
TSFC/IDB
Approval and Qualifications
Approval and Standards Practice
Code of Conduct
Fees
Related Circular Letter
Securities Brokerage Business
Business Operation Rules
Securities Underwriter Business
Business Operation Rules
Securities Dealer Business
Business Operation Rules
Securities Borrowing and Lending Business : SBL
Securities Finance
Derivatives Agent
Derivatives Dealer
Stock Exchange
Derivatives Exchange
Derivatives Clearing House
Securities Registrar
TSD
Association of business
Collective Investment Scheme
Private Equity Trust
Wealth Advice Service
Wealth Advice Service
Digital Token Offering
Digital Asset Intermediaries
Clearing House
Securities Registrar
Major Shareholders
Executives
Derivatives Agent
and
-------------------------- Sub-topic -------------------------
Approval of Securities Offering
Others Securities Issuance
Approval/Disclosure/After Sell Duties for ESOP
Approval/Disclosure/After Sell Duties for ESOP of Foreign Companies
Filing of the registration statement and the draft prospectus
After Sell Duties
Others
Takeover
Financial Advisors
Auditors
Property Valuers
Credit Rating Agency
General Mutual Fund
Thai Trust Fund
Property and Loan Fund
Execution of Agreements for Management and Management of Private Fund
NAV calculation
Advertising
Disclosure
Reporting
Private Fund Selling Representative
Others
Provident Fund Registration
Provident Fund Management
Register of Members
Investment Limit
Investment Powers
Conflict of Interest
Unitization
Borrowing from fund asset
Report/Financial Statement
Auditors
Procedure for the default by Issuer
Registrar Notification
Circular
Others
Venture Capital Fund Management
Auditors
Report Form
Conducts of Derivatives Fund Management
Executives of asset management companies and personnel in asset management business
Major Shareholders
Fund Manager
Mutual Fund Supervisors
Custodians
Auditors
Business Engagement
Business Engagement
Business Engagement
Fees (section 14 and 19)
Major Shareholders (section 90 and 91)
Branch Office (section 92)
Net Liquid Capital (section 97)
Capital Reduction (section 98(1))
Anti-fraud Provisions (section 98(3))
Forward Transactions/OTC Equity Derivatives Transactions (section 98(4))
Proprietary Trading (section 98(7))
Other Business Undertaken by Securities Companies (section 98(8))
Advertising (section 98(10))
Acting as Securities Company Agents (section 100)
Loans to Customers (section 102)
Statutory Disqualifications for Management (section 103)
Accounting and Records (section 105)
Audited Financial Statement & Auditor Approval (section 106)
Public Disclosure (section 108)
Reporting and Notification Requirements (section 109)
OTC Securities Brokers (section 113)
Conduct Regulation of Securities Broker-Dealers (section 113)
Revocation of License (section 147)
Service Outsourcing Guide for Securities Companies
Fees (section 14 and 19)
Major Shareholders (section 90 and 91)
Branch Office (section 92)
Net Liquid Capital (section 97)
Capital Reduction (section 98(1))
Proprietary Trading (section 98(7))
Other Business Undertaken by Securities Companies (section 98(8))
Advertising (section 98(10))
Statutory Disqualifications for Management (section 103)
Accounting and Records (section 105)
Audited Financial Statement & Auditor Approval (section 106)
Publisc Disclosure (section 108)
Reporting & Notification Requirements (section 109)
OTC Securities Brokers (section 113)
Conduct Regulation of Securities Broker-Dealers (section 113)
OTC Securities Dealer (section 114)
Revocation of License (section 147)
Services Outsourcing Guide for Securities Companies
Fees (section 14 and 19)
Major Shareholders (section 90 and 91)
Branch Office (section 92)
Net Liquid Capital (section 97)
Capital Reduction (section 98(1))
Proprietary Trading (section 98(7))
Other Business Undertaken by Securities Companies (section 98(8))
Advertising (section 98(10))
Acting as Securities Company Agents (section 100)
Statutory Disqualifcations for Management (section 103)
Accounting and Records (section 105)
Audited Financial Statement & Auditor Approval (section 106)
Public Disclosure (section 108)
Reporting & Notification Requirements (section 109)
Conduct Regulation of Securities Broker-Dealers (section 113)
Securities Underwriter (section 116)
Revocation of License (section 147)
Service Outsourcing Guide for Securities Companies
Fees (section 14 and 19)
Net Liquid Capital (section 97)
Anti-fraud Provisions (section 98(3))
Forward Transactions/OTC Equity Derivatives Transactions (section 98(4))
Securities Borrowing and Lending (section 98(5))
Advertising (section 98(10))
Accounting and Records (section 105)
Audited Financial Statements & Auditor Approval (section 106)
Public Disclosure (section 108)
Reporting & Notification Requirements (section 109)
Revocation of License (section 147)
Service Outsourcing Guide for Securities Companies
Licensing
Business Operation Rules
Fees
Related Circular Letter
Licensing/Ministerial Regulation
Activities not deem to be classified as operating securities business
Business Operation Rules
Auditors
Reporting
Fees
Related Circular Letter
Registrar and Licensing
Activities not deem to be classified as operating securities business
Business Operation Rules
Fees
Related Circular Letter
Notifications of the Association of investment Management Companies
Notifications of Investment Management Companies
Licensing/Register
Conducts of Derivatives Fund Manager
Disclosure on Financial status and of Issuance Companies (section 56)
Accounting and Financial Statements (section 105)
Preparing and Publishing Financial Statements & Auditor Approval (section 106)
Approval
Business Operations Rules
Reporting
Fees
Circular
Securities Borrowing and Lending (section 98(5))
Short Sale Provisions (section 98(5))
Fees (section 14 and 19)
Major Shareholders (section 90 and 91)
Revocation of License (section 147)
Securities Financing (section 4)
Separation of Securities and Finance Businesses & Merger (section 90)
Representatives Office of foreign securities companies (section 93)
Holidays (section 110)
Securities Registrar Business (section 222)
Association Related to Securities Businesses (section 230)
Terms and Condition for Information Technology
Others
General Definition (section 3)
Licensing and Registration (section 16)
Conduct Regulation of Derivatives Business (section 18)
Others
General Definition (section 3)
Licensing and Registration (section 16)
Conduct Regulation of Derivatives Business (section 18)
Others
Major Shareholders
Branch Office
Capital Reduction
Short Sale Provisions (section 98(5))
Proprietary Trading
Other Business Undertaken by Securities Companies
Management Approval and Revocation (section 104)
Management Approval and Revocation (section 104)
Approval and Revocation of Executives (section 104)
Management Approval and Revocation (section 104)
Statutory Disqualifications for Management (section 103)
Statutory Disqualifications for Management (section 103)
Stock Exchange of Thailand
Thailand Future Exchange Company
Thailand Securities Depository Company
Thailand Clearing House Company
Debenture Holder Representatives
Old Fund
Foreign investment for provident fund
Capital Requirement
Auditors (Section 30)
Management and Official Staffs
Management and Official Staffs
Custodian
NAV Verifier
Public Disclosure (Section 28)
Official Business Day (Section 18)
Official Business Day (Section 18)
Reporting & Notification Requirements (Section 19)
Anti-Money Laundering and Combating of Terrorist Financing
Anti-Money Laundering and Combating of Terrorist Financing
Anti-Money Laundering and Combating of Terrorist Financing
Advertising (section 98(10))
OTC Securities Dealer (section 114)
Executives of asset management companies and personnel in asset management business
Auditors
Anti-Money Laundering and Combating of Terrorist Financing
Fees (section 14 and 19)
Major Shareholders (section 90 and 91)
Advertising (section 98(10))
Statutory Disqualifications for Management (section 103)
Revocation of License (section 147)
Others
Others
Association Related to Securities Businesses (section 230)
Holidays (section 110)
Securities Registrar Business (section 222)
Anti-Money Laundering and Combating of Terrorist Financing
Terms and Condition for Information Technology
Investment Powers and Restrictions
Other related business (Section 22)
Other related business
Licensing / Registered Capital / Fees
Business Conduct
Securities Lending / Credit Balance (Section 102)
Protection of Customer Assets (Section 98(3))
Net Liquid Capital Rule (Section 97)
Executives / Personnel
Major Shareholders
Engagement in Related Businesses
Internal operation of Securities Companies
Auditors
Accounting and Financial Statements (Section 105, 106)
Reporting Requirements (Section 109)
Disclosure
Branch Offices / Representative Offices (Section 92, 93)
Complaint Handling
Anti-money Laundering
Information Technology
Arbitration
Appeal
Others
Licensing / Registered Capital / Fees
Business Conduct
Protection of Customer Assets (Section 98(3))
Reporting of Securities Allocation (Section 81)
Net Liquid Capital Rule (Section 97)
Executives / Personnel
Major Shareholders
Engagement in Related Businesses
Internal operation of Securities Companies
Auditors
Accounting and Financial Statements (Section 105, 106)
Reporting Requirements (Section 109)
Disclosure
Branch Offices / Representative Offices (Section 92, 93)
Complaint Handling
Anti-money Laundering
Information Technology
Arbitration
Appeal
Others
Licensing / Registered Capital / Fees
Business Conduct
Net Liquid Capital Rule (Section 97)
Executives / Personnel
Major Shareholders
Engagement in Related Businesses
Internal operation of Securities Companies
Auditors
Accounting and Financial Statements (Section 105, 106)
Reporting Requirements (Section 109)
Disclosure
Branch Offices / Representative Offices (Section 92, 93)
Complaint Handling
Anti-money Laundering
Information Technology
Arbitration
Appeal
Others
Licensing / Fees
Business Conduct
Protection of Customer Assets (Section 98(3))
Reporting Requirements (Section 109)
Licensing / Fees
Capital Requirement (Section 97)
Business Conduct
Executives / Personnel
Major Shareholders
Protection of Customer Assets (Section 98(3))
Engagement in Related Businesses
Internal operation of Securities Companies
Auditors
Accounting and Financial Statements (Section 105, 106)
Reporting Requirements (Section 109)
Disclosure
Anti-money Laundering
Arbitration
Appeal
Others
Definitions (Section 3)
Licensing / Registration (Section 16)
Net Liquid Capital Rule (Section 49)
Executives / Personnel
Major Shareholders
Business Conduct (Section 18)
Margin Requirement (Section 18)
Protection of Customer Assets (Section 33,43,44)
Internal operation of Securities Companies
Auditors
Accounting and Financial Statements (Section 27, 28)
Reporting Requirements
Anti-money Laundering
Arbitration
Appeal
Others
Definitions (Section 3)
Licensing / Registration (Section 16)
Net Liquid Capital Rule (Section 49)
Executives / Personnel
Major Shareholders
Business Conduct (Section 18)
Internal operation of Securities Companies
Auditors
Accounting and Financial Statements (Section 27, 28)
Reporting Requirements
Anti-money Laundering
Arbitration
Appeal
Others
Licensing (Section 222)
Fees (Section 14, 19)
Business Conduct (Section 223)
Reporting Requirement (Section 223)
Other related business (Section 22)
Major Shareholders
Major Shareholders
Executives of asset management companies and personnel in asset management business
Business Continuity Management (BCM)
Governance of publicly traded company pursuant to chapter 3/1
Paid up Capital
Reporting
Audit Committee (Section 89/25/133)
Audit Committee (Section 89/25)
Complaint Handling
Venture Capital Fund License Activation
Fees
Reporting
Infrastructure Fund
Reporting Requirements (Section 109)
Carbon Fund
Registered Capital (Section 96)
Capital Adequacy Requirements
Capital Adequacy Requirements
Capital Adequacy Requirements
Executives / Personnel
Executives / Personnel
Executives / Personnel
Reporting Requirements
Auditors
Information Technology
Information Technology
Hedge Fund
Wealth Advice
Wealth Advice
Executives / Personnel
Super Savings Fund
การแยกและจัดการทรัพย์สินของลูกค้าในกรณีผู้ประกอบธุรกิจถูกศาลสั่งพิทักษ์ทรัพย์ (มาตรา 111/1)
Branch Office
หลักทรัพย์ ฯ
สัญญาซื้อขายล่วงหน้า
หลักทรัพย์ ฯ
สัญญาซื้อขายล่วงหน้า
การแยกและจัดการทรัพย์สินของลูกค้าในกรณีผู้ประกอบธุรกิจถูกศาลสั่งพิทักษ์ทรัพย์ (มาตรา 111/1)
Thailand ESG Fund : Thai ESG
Definitions (Section 3)
Licensing / Registration (Section 16)
Net Liquid Capital Rule (Section 49)
Executives / Personnel
Major Shareholders
Business Conduct (Section 18)
Margin Requirement (Section 18)
Protection of Customer Assets (Section 33,43,44)
Internal operation of Securities Companies
Auditors
Accounting and Financial Statements (Section 27, 28)
Reporting Requirements
Anti-money Laundering
Arbitration
Appeal
Others
Other related business (Section 22)
Paid up Capital
Fees
Approval of Securities Offering
Others Securities Issuance
Approval/Disclosure/After Sell Duties for ESOP
Approval/Disclosure/After Sell Duties for ESOP of Foreign Companies
Filing of the registration statement and the draft prospectus
After Sell Duties
Others
Takeover
Financial Advisors
Auditors
Property Valuers
Credit Rating Agency
General Mutual Fund
Thai Trust Fund
Property and Loan Fund
Execution of Agreements for Management and Management of Private Fund
NAV calculation
Advertising
Disclosure
Reporting
Private Fund Selling Representative
Others
Provident Fund Registration
Provident Fund Management
Register of Members
Investment Limit
Investment Powers
Conflict of Interest
Unitization
Borrowing from fund asset
Report/Financial Statement
Auditors
Procedure for the default by Issuer
Registrar Notification
Circular
Others
Venture Capital Fund Management
Auditors
Report Form
Conducts of Derivatives Fund Management
Executives of asset management companies and personnel in asset management business
Major Shareholders
Fund Manager
Mutual Fund Supervisors
Custodians
Auditors
Business Engagement
Business Engagement
Business Engagement
Fees (section 14 and 19)
Major Shareholders (section 90 and 91)
Branch Office (section 92)
Net Liquid Capital (section 97)
Capital Reduction (section 98(1))
Anti-fraud Provisions (section 98(3))
Forward Transactions/OTC Equity Derivatives Transactions (section 98(4))
Proprietary Trading (section 98(7))
Other Business Undertaken by Securities Companies (section 98(8))
Advertising (section 98(10))
Acting as Securities Company Agents (section 100)
Loans to Customers (section 102)
Statutory Disqualifications for Management (section 103)
Accounting and Records (section 105)
Audited Financial Statement & Auditor Approval (section 106)
Public Disclosure (section 108)
Reporting and Notification Requirements (section 109)
OTC Securities Brokers (section 113)
Conduct Regulation of Securities Broker-Dealers (section 113)
Revocation of License (section 147)
Service Outsourcing Guide for Securities Companies
Fees (section 14 and 19)
Major Shareholders (section 90 and 91)
Branch Office (section 92)
Net Liquid Capital (section 97)
Capital Reduction (section 98(1))
Proprietary Trading (section 98(7))
Other Business Undertaken by Securities Companies (section 98(8))
Advertising (section 98(10))
Statutory Disqualifications for Management (section 103)
Accounting and Records (section 105)
Audited Financial Statement & Auditor Approval (section 106)
Publisc Disclosure (section 108)
Reporting & Notification Requirements (section 109)
OTC Securities Brokers (section 113)
Conduct Regulation of Securities Broker-Dealers (section 113)
OTC Securities Dealer (section 114)
Revocation of License (section 147)
Services Outsourcing Guide for Securities Companies
Fees (section 14 and 19)
Major Shareholders (section 90 and 91)
Branch Office (section 92)
Net Liquid Capital (section 97)
Capital Reduction (section 98(1))
Proprietary Trading (section 98(7))
Other Business Undertaken by Securities Companies (section 98(8))
Advertising (section 98(10))
Acting as Securities Company Agents (section 100)
Statutory Disqualifcations for Management (section 103)
Accounting and Records (section 105)
Audited Financial Statement & Auditor Approval (section 106)
Public Disclosure (section 108)
Reporting & Notification Requirements (section 109)
Conduct Regulation of Securities Broker-Dealers (section 113)
Securities Underwriter (section 116)
Revocation of License (section 147)
Service Outsourcing Guide for Securities Companies
Fees (section 14 and 19)
Net Liquid Capital (section 97)
Anti-fraud Provisions (section 98(3))
Forward Transactions/OTC Equity Derivatives Transactions (section 98(4))
Securities Borrowing and Lending (section 98(5))
Advertising (section 98(10))
Accounting and Records (section 105)
Audited Financial Statements & Auditor Approval (section 106)
Public Disclosure (section 108)
Reporting & Notification Requirements (section 109)
Revocation of License (section 147)
Service Outsourcing Guide for Securities Companies
Licensing
Business Operation Rules
Fees
Related Circular Letter
Licensing/Ministerial Regulation
Activities not deem to be classified as operating securities business
Business Operation Rules
Auditors
Reporting
Fees
Related Circular Letter
Registrar and Licensing
Activities not deem to be classified as operating securities business
Business Operation Rules
Fees
Related Circular Letter
Notifications of the Association of investment Management Companies
Notifications of Investment Management Companies
Licensing/Register
Conducts of Derivatives Fund Manager
Disclosure on Financial status and of Issuance Companies (section 56)
Accounting and Financial Statements (section 105)
Preparing and Publishing Financial Statements & Auditor Approval (section 106)
Approval
Business Operations Rules
Reporting
Fees
Circular
Securities Borrowing and Lending (section 98(5))
Short Sale Provisions (section 98(5))
Fees (section 14 and 19)
Major Shareholders (section 90 and 91)
Revocation of License (section 147)
Securities Financing (section 4)
Separation of Securities and Finance Businesses & Merger (section 90)
Representatives Office of foreign securities companies (section 93)
Holidays (section 110)
Securities Registrar Business (section 222)
Association Related to Securities Businesses (section 230)
Terms and Condition for Information Technology
Others
General Definition (section 3)
Licensing and Registration (section 16)
Conduct Regulation of Derivatives Business (section 18)
Others
General Definition (section 3)
Licensing and Registration (section 16)
Conduct Regulation of Derivatives Business (section 18)
Others
Major Shareholders
Branch Office
Capital Reduction
Short Sale Provisions (section 98(5))
Proprietary Trading
Other Business Undertaken by Securities Companies
Management Approval and Revocation (section 104)
Management Approval and Revocation (section 104)
Approval and Revocation of Executives (section 104)
Management Approval and Revocation (section 104)
Statutory Disqualifications for Management (section 103)
Statutory Disqualifications for Management (section 103)
Stock Exchange of Thailand
Thailand Future Exchange Company
Thailand Securities Depository Company
Thailand Clearing House Company
Debenture Holder Representatives
Old Fund
Foreign investment for provident fund
Capital Requirement
Auditors (Section 30)
Management and Official Staffs
Management and Official Staffs
Custodian
NAV Verifier
Public Disclosure (Section 28)
Official Business Day (Section 18)
Official Business Day (Section 18)
Reporting & Notification Requirements (Section 19)
Anti-Money Laundering and Combating of Terrorist Financing
Anti-Money Laundering and Combating of Terrorist Financing
Anti-Money Laundering and Combating of Terrorist Financing
Advertising (section 98(10))
OTC Securities Dealer (section 114)
Executives of asset management companies and personnel in asset management business
Auditors
Anti-Money Laundering and Combating of Terrorist Financing
Fees (section 14 and 19)
Major Shareholders (section 90 and 91)
Advertising (section 98(10))
Statutory Disqualifications for Management (section 103)
Revocation of License (section 147)
Others
Others
Association Related to Securities Businesses (section 230)
Holidays (section 110)
Securities Registrar Business (section 222)
Anti-Money Laundering and Combating of Terrorist Financing
Terms and Condition for Information Technology
Investment Powers and Restrictions
Other related business (Section 22)
Other related business
Licensing / Registered Capital / Fees
Business Conduct
Securities Lending / Credit Balance (Section 102)
Protection of Customer Assets (Section 98(3))
Net Liquid Capital Rule (Section 97)
Executives / Personnel
Major Shareholders
Engagement in Related Businesses
Internal operation of Securities Companies
Auditors
Accounting and Financial Statements (Section 105, 106)
Reporting Requirements (Section 109)
Disclosure
Branch Offices / Representative Offices (Section 92, 93)
Complaint Handling
Anti-money Laundering
Information Technology
Arbitration
Appeal
Others
Licensing / Registered Capital / Fees
Business Conduct
Protection of Customer Assets (Section 98(3))
Reporting of Securities Allocation (Section 81)
Net Liquid Capital Rule (Section 97)
Executives / Personnel
Major Shareholders
Engagement in Related Businesses
Internal operation of Securities Companies
Auditors
Accounting and Financial Statements (Section 105, 106)
Reporting Requirements (Section 109)
Disclosure
Branch Offices / Representative Offices (Section 92, 93)
Complaint Handling
Anti-money Laundering
Information Technology
Arbitration
Appeal
Others
Licensing / Registered Capital / Fees
Business Conduct
Net Liquid Capital Rule (Section 97)
Executives / Personnel
Major Shareholders
Engagement in Related Businesses
Internal operation of Securities Companies
Auditors
Accounting and Financial Statements (Section 105, 106)
Reporting Requirements (Section 109)
Disclosure
Branch Offices / Representative Offices (Section 92, 93)
Complaint Handling
Anti-money Laundering
Information Technology
Arbitration
Appeal
Others
Licensing / Fees
Business Conduct
Protection of Customer Assets (Section 98(3))
Reporting Requirements (Section 109)
Licensing / Fees
Capital Requirement (Section 97)
Business Conduct
Executives / Personnel
Major Shareholders
Protection of Customer Assets (Section 98(3))
Engagement in Related Businesses
Internal operation of Securities Companies
Auditors
Accounting and Financial Statements (Section 105, 106)
Reporting Requirements (Section 109)
Disclosure
Anti-money Laundering
Arbitration
Appeal
Others
Definitions (Section 3)
Licensing / Registration (Section 16)
Net Liquid Capital Rule (Section 49)
Executives / Personnel
Major Shareholders
Business Conduct (Section 18)
Margin Requirement (Section 18)
Protection of Customer Assets (Section 33,43,44)
Internal operation of Securities Companies
Auditors
Accounting and Financial Statements (Section 27, 28)
Reporting Requirements
Anti-money Laundering
Arbitration
Appeal
Others
Definitions (Section 3)
Licensing / Registration (Section 16)
Net Liquid Capital Rule (Section 49)
Executives / Personnel
Major Shareholders
Business Conduct (Section 18)
Internal operation of Securities Companies
Auditors
Accounting and Financial Statements (Section 27, 28)
Reporting Requirements
Anti-money Laundering
Arbitration
Appeal
Others
Licensing (Section 222)
Fees (Section 14, 19)
Business Conduct (Section 223)
Reporting Requirement (Section 223)
Other related business (Section 22)
Major Shareholders
Major Shareholders
Executives of asset management companies and personnel in asset management business
Business Continuity Management (BCM)
Governance of publicly traded company pursuant to chapter 3/1
Paid up Capital
Reporting
Audit Committee (Section 89/25/133)
Audit Committee (Section 89/25)
Complaint Handling
Venture Capital Fund License Activation
Fees
Reporting
Infrastructure Fund
Reporting Requirements (Section 109)
Carbon Fund
Registered Capital (Section 96)
Capital Adequacy Requirements
Capital Adequacy Requirements
Capital Adequacy Requirements
Executives / Personnel
Executives / Personnel
Executives / Personnel
Reporting Requirements
Auditors
Information Technology
Information Technology
Hedge Fund
Wealth Advice
Wealth Advice
Executives / Personnel
Super Savings Fund
การแยกและจัดการทรัพย์สินของลูกค้าในกรณีผู้ประกอบธุรกิจถูกศาลสั่งพิทักษ์ทรัพย์ (มาตรา 111/1)
Branch Office
หลักทรัพย์ ฯ
สัญญาซื้อขายล่วงหน้า
หลักทรัพย์ ฯ
สัญญาซื้อขายล่วงหน้า
การแยกและจัดการทรัพย์สินของลูกค้าในกรณีผู้ประกอบธุรกิจถูกศาลสั่งพิทักษ์ทรัพย์ (มาตรา 111/1)
Thailand ESG Fund : Thai ESG
Definitions (Section 3)
Licensing / Registration (Section 16)
Net Liquid Capital Rule (Section 49)
Executives / Personnel
Major Shareholders
Business Conduct (Section 18)
Margin Requirement (Section 18)
Protection of Customer Assets (Section 33,43,44)
Internal operation of Securities Companies
Auditors
Accounting and Financial Statements (Section 27, 28)
Reporting Requirements
Anti-money Laundering
Arbitration
Appeal
Others
Other related business (Section 22)
Paid up Capital
Fees
Please be informed that as of now the Notifications beginning with Gor and Jor have been changed to Kor and Chor respectively.