Business Operation Rules
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Net Liquid Capital Rule (Section 97)
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Executives / Personnel
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Approval & Qualifications (Section 103, 104)
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Major Shareholders
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Approval & Qualifications (Section 90, 91)
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Audit Committee (Section 89/25/133)
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Engagement in Related Businesses
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OTC & Derivatives Businesses (Section 98(4))
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Engagement in Other Businesses (Section 98(8))
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Selling Agents (Section 100)
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Internal operation of Securities Companies
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Proprietary Investment (Section 98(7))
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Accept purchasing or selling orders outside head office or branch
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Outsourcing Services
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Joint Management Agreement / Other Agreements
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Auditors
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Approval (Section 106)
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Accounting and Financial Statements (Section 105, 106)
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Reporting Requirements (Section 109)
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Disclosure
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Advertising (Section 98(10))
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Securities Businesses (Section 108)
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Branch Offices / Representative Offices (Section 92, 93)
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Branches (Section 92)
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Representatives Offices Establishment (Section 93)
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Complaint Handling
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Anti-money Laundering
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Information Technology
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Business Continuity Management (BCM)
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Arbitration
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Appeal
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Others
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Public Holidays (Section 110)
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Segregation of Finance and Securities Business & Merger (Section 90)
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Related Organizations with Securities Business (Section 230)
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Others
Securities Dealer Business
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Licensing / Registered Capital / Fees
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Licensing (Section 90)
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Activities NOT deem TO be classified AS operating securities business
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Registered Capital (Section 96)
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Revocation of License (Section 147)
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Decrease in Registered Capital (Section 98(1))
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Fees (Section 14, 19)
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Business Conduct
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Securities Dealing (Section 114)
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Dealer of capital market product denominated in foreign currency
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Know Your Clients
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การการติดต่อและให้บริการลูกค้า
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Books & Records Requirements
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Risk Control
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Compliance / Internal Control
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Conflict of Interest
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Online Submission
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การแยกและจัดการทรัพย์สินของลูกค้าในกรณีผู้ประกอบธุรกิจถูกศาลสั่งพิทักษ์ทรัพย์ (มาตรา 111/1)