| |
Type |
Title |
Section |
See document |
Status |
Notified Date |
Effective Date |
|---|
| 1. |
Ministerial regulations |
|
|
|
 | 26/09/1996 |
04/10/1996 |
| 2. |
Notification of the Securities and Exchange Commission 3/2548 |
|
|
|
| 17/01/2005 |
01/03/2005 |
| 3. |
Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4/2548 |
Qualifications and Other Prohibited Characteristics of Executives of Securities Companies (Synopsis) |
|
   |
| 17/01/2005 |
01/03/2005 |
| 4. |
Notification of Capital Market Supervisory Board 3/2555 |
(Synopsis) |
|
|
| 18/01/2012 |
01/04/2012 |
| |  |
| | |
| 5. |
Notification of Capital Market Supervisory Board TorThor/Nor/Khor 37/2553 |
Prohibited Characteristics of Personnel in Capital Market Industry |
|
|
| 15/09/2010 |
01/10/2010 |
| 6. |
Notification of Capital Market Supervisory Board 57/2552 |
|
|
|
| 03/08/2009 |
01/09/2009 |
| 7. |
Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 58/2552 |
Qualifications and Other Prohibited Characteristics of Directors and Executives of Securities Companies (Codified) (Synopsis) |
|
|
| 03/08/2009 |
01/09/2009 |
| 8. |
Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 26/2551 |
Rules, Conditions and Procedures for Being Executive of Securities Companies |
|
|
| 05/11/2008 |
16/11/2008 |
| | |
| | |
| 9. |
Notification of the Office of the Securities and Exchange Commission 12/2542 |
(Synopsis) |
|
|
| 05/10/1999 |
|
| 10. |
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 |
| 11. |
Notification of the Office of the Securities and Exchange Commission |
Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) |
|
|
| 01/02/2010 |
01/02/2010 |
| 12. |
Notification of the Office of the Securities and Exchange Commission SorThor 49/2549 |
Rules on Exemption from Appointment of Independent Director of Securities Companies |
|
|
| 28/12/2006 |
01/01/2007 |
| 13. |
Notification of the Office of the Securities and Exchange Commission 6/2548 |
(Synopsis) |
|
|
| 08/04/2005 |
01/05/2005 |
| | |
| 14. |
Notification of the Office of the Securities and Exchange Commission OrThor/Nor. 3/2542 |
Re: Code of Ethics for the Executives of the Securities Company |
|
|
| 17/02/1999 |
|
| 15. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 104-3 Application Form for an Approval of Executive of Securites Comnpanies |
|
|
| |
|
| 16. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 104-4 Certification of Executive Profile of Securities Company |
|
|
| |
|
| 17. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 104-5 Form for Changing of Position of Power of Management of Persons Approved by the Office |
|
|
| |
|
| 18. |
Circular 13/2544 |
|
|
|
| 22/02/2001 |
|
| |  |
Report/Form (Notification of Securities and Exchange Commission) |
Request Form for Examining Information of Persons who the Securities Company will Appoint as Executive |
|
|
 |
|
|
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Form 103-1 List of Information Intend to Examine by the Securities Company |
|
|
|
|
|
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Consent Form for Personal Information Disclosure |
|
|
|
|
|
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