Investment Advisory
|- Licensing/Ministerial Regulation |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel |- |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting |- Fees |- Related Circular Letter

Marketing
|- Approval and Standards Practice |- Code of Conduct |- Fees |- Related Circular Letter

Fund Rating Agency
|- Approval |- Business Operations Rules |- Reporting |- Fees |- Circular

Others (Securities Business)
|- 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 |- Anti-Money Laundering and Combating of Terrorist Financing |- Others

Executives of securities companies and personnel in securities business
|- Approval and Qualifications