>>

  Type Title Section See document Status Notified Date Effective Date
1. Ministerial regulations   15/2543    28/08/2000
2. Notification of the Securities and Exchange Commission   45/2545    24/10/2002 16/11/2002
3. Notification of the Securities and Exchange Commission   14/2545    19/02/2002 22/02/2002
4. Notification of the Securities and Exchange Commission   20/2552    03/08/2009 01/09/2009
5. Notification of the Securities and Exchange Commission  KorNor. 22/2552 Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management   06/08/2009 16/08/2009
6. Notification of the Securities and Exchange Commission  KorKhor 7/2551 Determination of Paid-Up Registered Capital of Securities Company   08/05/2008 01/06/2008
7. Notification of the Securities and Exchange Commission  KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices   22/05/2007 01/06/2007
8. Notification of the Securities and Exchange Commission  KorNor 16/2549 Rules, Conditions and Procedures for Purchasing or Holding of Shares as Assets of Management Company   02/05/2006 01/07/2006
9. Notification of the Securities and Exchange Commission   1/2549    18/01/2006 16/02/2006
10. Notification of the Securities and Exchange Commission   34/2548    13/09/2005 01/11/2005
11. Notification of the Securities and Exchange Commission  KorNor 13/2548 Rules for Maintaining Capital Adequacy and Professional Indemnity Insurance of Management Companies   21/01/2005 01/07/2005
12. Notification of the Securities and Exchange Commission   2/2548    05/01/2005 01/04/2005
13. Notification of the Securities and Exchange Commission   28/2547    27/05/2004 16/06/2004
14. Notification of the Securities and Exchange Commission   8/2545    01/02/2002 01/02/2002
15. Notification of the Securities and Exchange Commission  KorNor. 40/2543 Determination on Paid-up Registered Capital of Securities Company Licensed to Undertake Securities Business in the Category of Private Fund Management   18/09/2000 28/09/2000
16. Notification of the Securities and Exchange Commission   41/2543    18/09/2000 28/09/2000
17. Notification of the Securities and Exchange Commission   37/2543    18/09/2000 28/09/2000
  Report/Form (Notification of Securities and Exchange Commission) Form 90-12 Application for an Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business in the Category of Private Fund Management
  Report/Form (Notification of Securities and Exchange Commission) Documents for an Application for an Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business in the Category of Private Fund Management
  Report/Form (Notification of Securities and Exchange Commission) Certified Form Relating to Acting in Compliance with Related Laws of Applicant who is Juristic Person/Financial Institution or Individual
  Report/Form (Notification of Securities and Exchange Commission) Form 90-13 Application for a License to Undertake Securities Business in the Category of Private Fund Management
  Report/Form (Notification of Securities and Exchange Commission) Documents for an Application for a License to Undertake Securities Business in the Category of Private Fund Management
  Report/Form (Notification of Securities and Exchange Commission) Guidelines for Filling in an Application for an Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business in the Category of Private Fund Management (Form 90-12) and Application for a License to Undertak
18. Notification of the Securities and Exchange Commission   10/2541    26/02/1998 28/02/1998
19. Notification of the Securities and Exchange Commission  KorNor. 30/2547 Rules, Conditions and Procedures for Establishment and Management of Funds (codified as of 21/01/2005) (Synopsis)   10/06/2004
20. Notification of the Securities and Exchange Commission   19/2545    07/03/2002
21. Notification of the Securities and Exchange Commission  KorNor. 14/2543 Rules, Conditions and Procedures for Management of Private Funds (codified as of 23/04/2004) (Synopsis)   04/04/2000
22. Notification of the Securities and Exchange Commission   12/2539    06/08/1996
23. Notification of the Securities and Exchange Commission   29/2547 (Synopsis)  
24. Notification of the Securities and Exchange Commission  KorKhor 6/2551 Determination of Paid-Up Registered Capital of Person Applying for Securities Business License under Ministerial Regulation Concerning Granting of License for Undertaking Securities Business B.E. 2551 2008)   14 08/05/2008 01/06/2008
25. Notification of Capital Market Supervisory Board   13/2562    09/04/2019 01/05/2019
26. Notification of Capital Market Supervisory Board  Tor Nor 89/2558 Rules for Management of Retail Funds,Mutual Funds for Accredited Investors, Mutual Funds for Institutional Investors and Private Funds (Synopsis)   17/12/2015 16/01/2016
27. Notification of Capital Market Supervisory Board  TorThor 31/2556 Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries (Synopsis)   26/06/2013 16/07/2013
28. Notification of Capital Market Supervisory Board   41/2552    03/08/2009 01/09/2009
29. Notification of Capital Market Supervisory Board   42/2552    03/08/2009 01/09/2009
30. Notification of Capital Market Supervisory Board   45/2552    03/08/2009 01/09/2009
31. Notification of Capital Market Supervisory Board   51/2552    03/08/2009 01/09/2009
32. Notification of Capital Market Supervisory Board  TorThor/Khor/Dor/Nor. 62/2552 Determination for Securities Companies to Proceed with Customer Complaints   03/08/2009 01/09/2009
33. Notification of Capital Market Supervisory Board   27/2552 (Synopsis)   20/07/2009 16/08/2009
Notification of Capital Market Supervisory Board  TorThor. 2/2555 Rules, Conditions and Procedures for Establishment and Management of Mutual Funds (No. 4) 12/01/2012 01/02/2012
34. Notification of Capital Market Supervisory Board  TorThor/Khor/Dor/Nor 1/2552 Establishment of Audit Committee of Securities Companies   26/01/2009 01/03/2009
35. Notification of the Office of the Securities and Exchange Commission  SorNor. 1/2548 Rules for the Exercise of Fund’s Voting Rights at the Shareholders’ Meeting by the Management Company and Information Disclosure   11/01/2005 16/01/2005
36. Notification of the Office of the Securities and Exchange Commission   46/2545 (Synopsis)   19/12/2002 01/01/2003
37. Notification of the Office of the Securities and Exchange Commission   50/2543    11/10/2000 26/10/2000
  
38. Notification of the Office of the Securities and Exchange Commission   51/2543    11/10/2000 26/10/2000
39. Notification of the Office of the Securities and Exchange Commission   24/2562    09/04/2019 16/05/2019
40. Notification of the Office of the Securities and Exchange Commission  Sor Thor. 37/2559 Rules in Detail on Establishment of Information Technology System   12/09/2016 01/09/2017
41. Notification of the Office of the Securities and Exchange Commission  Sor. Nor. 87/2558 Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds (Synopsis)   17/12/2015 16/01/2016
42. Notification of the Office of the Securities and Exchange Commission   21/2554    27/07/2011 01/08/2011
43. Notification of the Office of the Securities and Exchange Commission   33/2553    26/08/2010 01/01/2011
44. Notification of the Office of the Securities and Exchange Commission   42/2553    07/10/2010 01/11/2010
45. Notification of the Office of the Securities and Exchange Commission   35/2553    07/09/2010 01/10/2010
46. Notification of the Office of the Securities and Exchange Commission   29/2553    25/08/2010 16/09/2010
47. Notification of the Office of the Securities and Exchange Commission   30/2553    25/08/2010 16/09/2010
48. Notification of the Office of the Securities and Exchange Commission   24/2552    28/07/2009 16/08/2009
  
  
  
  
49. Notification of the Office of the Securities and Exchange Commission   21/2552    28/07/2009 16/08/2009
50. Notification of the Office of the Securities and Exchange Commission   22/2552    28/07/2009 16/08/2009
  
  
51. Notification of the Office of the Securities and Exchange Commission   13/2552    12/06/2009 16/06/2009
52. Notification of the Office of the Securities and Exchange Commission  SorKhor/Nor 10/2552 Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services   20/04/2009 16/05/2009
53. Notification of the Office of the Securities and Exchange Commission  SorKhor/Nor 32/2551 Rules, Conditions and Procedures for Management of Funds (No. 10)   27/11/2008 01/12/2008
54. Notification of the Office of the Securities and Exchange Commission  SorNor 21/2551 Acts that may Create Conflicts of Interest on Fund Management and Protective Rules (No. 2)   14/07/2008 01/08/2008
55. Notification of the Office of the Securities and Exchange Commission  SorThor/Nor 8/2551 Reporting of Offshore Securities Investment of Securities Company   12/03/2008 14/03/2008
56. Notification of the Office of the Securities and Exchange Commission  SorKhor/Nor 7/2551 Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services   06/02/2008 01/03/2008
57. Notification of the Office of the Securities and Exchange Commission  SorKhor/Nor 4/2551 Rules, Conditions and Procedures for Management of Funds (No. 8)   04/02/2008 15/02/2008
58. Notification of the Office of the Securities and Exchange Commission  SorNor 5/2551 Investment and Holding of Assets for a Fund (No.3)   01/02/2008 15/02/2008
59. Notification of the Office of the Securities and Exchange Commission  SorKhor/Nor 9/2551 Rules, Conditions, and Procedures for Management of Funds (No. 9)   12/03/2008 14/02/2008
60. Notification of the Office of the Securities and Exchange Commission  SorKhor/Nor. 17/2550 Re: Rules, Conditions and Procedures for Management of Funds (No.6)   04/07/2007 16/07/2007
61. Notification of the Office of the Securities and Exchange Commission  SorKhor/Nor. 15/2550 Re: Rules, Conditions and Procedures for Management of Funds (No.5)   02/07/2007 16/07/2007
62. Notification of the Office of the Securities and Exchange Commission  SorNor. 9/2550 Re: Investment and Holding of Assets for a Fund (N0. 2)   22/06/2007 01/07/2007
63. Notification of the Office of the Securities and Exchange Commission  SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism   01/03/2007 16/03/2007
64. Notification of the Office of the Securities and Exchange Commission   2/2550    23/02/2007 15/03/2007
65. Notification of the Office of the Securities and Exchange Commission  SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules   19/07/2006 16/08/2006
  
  
  
  
  
  
66. Notification of the Office of the Securities and Exchange Commission  SorNor. 28/2549 Re: Investment and Holding of Assets for a Fund   17/07/2006 01/08/2006
  
  
  
  
67. Notification of the Office of the Securities and Exchange Commission   25/2549    31/05/2006 01/06/2006
68. Notification of the Office of the Securities and Exchange Commission  SorKhor/Nor. 7/2549 Re: Rules, Conditions and Procedures for Management of Funds (No. 2)   14/03/2006 14/03/2006
69. Notification of the Office of the Securities and Exchange Commission  SorKhor/Nor. 1/2549 Re: Rules, Conditions and Procedures for Management of Funds   07/02/2006 16/02/2006
  Table and Interpretative Note to the Notification (SorKhor/Nor. 1/2549)
70. Notification of the Office of the Securities and Exchange Commission   23/2548    25/07/2005 25/07/2005
71. Notification of the Office of the Securities and Exchange Commission  OrNor. 1/2548 Re: Guidelines for the Exercise of Voting Rights of the Fund at the Shareholders Meeting by the Management Company and Information Disclosure   11/01/2005 16/01/2005
72. Notification of the Office of the Securities and Exchange Commission   13/2547    17/02/2004 01/04/2004
73. Notification of the Office of the Securities and Exchange Commission   47/2546    26/12/2003 01/01/2004
74. Notification of the Office of the Securities and Exchange Commission  SorNor. 45/2546    26/12/2003 01/01/2004
75. Notification of the Office of the Securities and Exchange Commission   46/2546    26/12/2003 01/01/2004
76. Notification of the Office of the Securities and Exchange Commission   16/2546    08/08/2003 08/08/2003
77. Notification of the Office of the Securities and Exchange Commission   6/2546    17/06/2003 01/07/2003
78. Notification of the Office of the Securities and Exchange Commission   11/2545    15/02/2002 16/02/2002
79. Notification of the Office of the Securities and Exchange Commission   62/2543    29/11/2000 01/01/2001
80. Notification of the Office of the Securities and Exchange Commission   57/2543    20/11/2000 28/11/2000
81. Notification of the Office of the Securities and Exchange Commission   11/2543    31/07/2000 26/08/2000
82. Notification of the Office of the Securities and Exchange Commission   24/2543    05/06/2000 22/06/2000
83. Notification of the Office of the Securities and Exchange Commission   45/2556    18/12/2013
84. Notification of the Office of the Securities and Exchange Commission    25/07/2007
85. Notification of the Office of the Securities and Exchange Commission   59/2546 (Synopsis)   31/12/2006
86. Notification of the Office of the Securities and Exchange Commission   29/2549 (Synopsis)   19/07/2006
87. Notification of the Office of the Securities and Exchange Commission  SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company   29/06/2006
  Report/Form (Notification of Securities and Exchange Commission) Audited Financial Statement (codified) (Synopsis) 30/06/2006
  
  
88. Notification of the Office of the Securities and Exchange Commission   1/2549 (Synopsis)   07/02/2006
  
89. Notification of the Office of the Securities and Exchange Commission  SorNor. 23/2547 Establishment of Mutual Funds and Execution of Agreements for Management of Private Funds (codified as of 14/03/2006) (Synopsis)   11/06/2004
90. Notification of the Office of the Securities and Exchange Commission   9/2545    15/02/2002
91. Notification of the Office of the Securities and Exchange Commission   33/2543 (Synopsis)   31/07/2000
92. Notification of the Office of the Securities and Exchange Commission   25/2543    05/06/2000
93. Notification of the Office of the Securities and Exchange Commission  SorNor. 28/2549 Re: Investment and Holding for Assets of a Fund (Synopsis)  
94. Notification of the Office of the Securities and Exchange Commission   7/2548 (Synopsis)  
95. Report/Form (Notification of Securities and Exchange Commission) (Synopsis)   23/01/2007 16/03/2007
96. Report/Form (Notification of Securities and Exchange Commission) (Synopsis)   23/01/2007 16/03/2007
97. Report/Form (Notification of Securities and Exchange Commission) (Synopsis)   23/01/2007 16/03/2007
98. Report/Form (Notification of Securities and Exchange Commission) Form EF-3 Appointment of Authorized Officer  
99. Report/Form (Notification of Securities and Exchange Commission) Report I1 (Report on Status of Investment in Derivatives and Embedded Derivatives instrument of All Mutual Funds Under Management)  
100. Report/Form (Notification of Securities and Exchange Commission) Form 14-1 Report on Gross Operating Income for Annual Transaction Levy Calculation  
101. Report/Form (Notification of Securities and Exchange Commission) Form 117-9 Report on the Commencement Date or Termination Date of Performance of Duty as Private Fund Managers  
102. Report/Form (Notification of Securities and Exchange Commission) Form EF-4 Revocation of Certifier or Authorized Officer  
103. Report/Form (Notification of Securities and Exchange Commission) Report I2 (Report on Status of Investment in Foreign Countries of All Mutual Funds Under Management)  
104. Report/Form (Notification of Securities and Exchange Commission) Form 133-1 Report on Changes of Information of Private Fund Manager  
105. Report/Form (Notification of Securities and Exchange Commission) Form 117-11 Name List of Private Fund Managers  
106. Report/Form (Notification of Securities and Exchange Commission) Form 135-1 Application for an Approval of Custodian of Private Funds  
107. Report/Form (Notification of Securities and Exchange Commission) Form Bor.Lor.1 Balance Sheet and Profit and Loss Statement  
108. Report/Form (Notification of Securities and Exchange Commission) Checklist: Documents for an Approval for Custodian of Private Fund (for commercial banks / finance companies / finance and securities companies / securities companies / life insurance companies / financial institution established under specific law)  
109. Report/Form (Notification of Securities and Exchange Commission) Text File Formats of Report Forms on Management of Private Fund (for a company license to undertake securities business in the category of private fund management)  
110. Report/Form (Notification of Securities and Exchange Commission) Checklist: Documents for an Approval for Custodian of Private Funds (for limited companies or public limited companies)  
111. Report/Form (Notification of Securities and Exchange Commission) Form 133-2 Report on the Commencement Date or Temination Date of Performance of Duty as Private Fund Manager  
112. Report/Form (Notification of Securities and Exchange Commission) Checklist: Documents for a Renewal of Custodian of Private Funds  
113. Report/Form (Notification of Securities and Exchange Commission) Form EF-1 Agreement of Submitting of Electronic Data  
114. Report/Form (Notification of Securities and Exchange Commission) Form 133-3 Report on Name List of Private Fund Managers  
115. Report/Form (Notification of Securities and Exchange Commission) Form EF-2 Appointment of Certifier  
116. Circular   8/2554    28/07/2011 01/08/2011
117. Circular   13/2552    13/10/2009 16/10/2009
118. Circular   26/2552    10/09/2009 16/08/2009
119. Circular   12/2552    25/08/2009 16/08/2009
120. Circular   29/2556    18/07/2013
  
  
121. Circular   20/2556    29/03/2013
122. Circular   20/2554    23/12/2011
  
123. Circular   23/2553    03/08/2010
124. Circular   18/2553    28/06/2010
125. Circular   32/2552    27/11/2009
126. Circular  SEC.Khor.(Wor) 1/2552    22/10/2009
  
127. Circular   11/2552    18/08/2009
128. Circular   3/2552    13/05/2009
129. Circular   5/2552    29/01/2009
130. Circular   1/2552    08/01/2009
131. Circular   51/2551    03/12/2008
132. Circular   45/2551    18/09/2008
  
  
133. Circular   43/2551    08/09/2008
134. Circular   41/2551    06/08/2008
135. Circular   39/2551    24/07/2008
136. Circular   37/2551    14/07/2008
137. Circular   16/2551    09/04/2008
138. Circular   8/2551    12/03/2008
  
  
  
  
  
139. Circular   3/2551    11/02/2008
140. Circular   1/2551    05/02/2008
141. Circular   41/2550    05/11/2007
142. Circular   11/2550    17/07/2007
143. Circular   7/2550    17/05/2007
144. Circular   6/2550    15/03/2007
  
  
145. Circular   4/2550    08/03/2007
146. Circular   5/2550    08/03/2007
147. Circular   10/2550    01/03/2007
148. Circular   5/2550    29/01/2007
149. Circular   20/2549    19/12/2006
  
  
150. Circular   56/2549    01/12/2006
151. Circular   1841/2549    23/08/2006
152. Circular   39/2549    23/08/2006
153. Circular   1815/2549    21/08/2006
154. Circular   14/2549    27/07/2006
155. Circular   13/2549    21/07/2006
156. Circular   12/2549    19/07/2006
  
  
157. Circular   11/2549    06/06/2006
158. Circular   12/2549    11/04/2006
159. Circular   5/2549    20/03/2006
160. Circular   21/2548    06/12/2005
  
161. Circular   30/2548    29/08/2005
162. Circular   14/2548    25/07/2005
163. Circular   11/2548    20/05/2005
164. Circular   3/2548    19/01/2005
  
165. Circular   33/2547    09/11/2004
166. Circular   959/2547    13/07/2004
167. Circular   29/2547    06/07/2004
168. Circular   6/2547    10/03/2004
  
  
169. Circular   1/2547    07/01/2004
170. Guideline    11/09/2014 01/10/2014
171. Guideline (Synopsis)   17/02/2004 01/03/2004