| |
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 Kor Thor. 32/2560 |
Maintenance of Net Capital |
|
   |
| 29/12/2017 |
16/01/2018 |
| 3. |
Notification of the Securities and Exchange Commission 13/2559 |
|
|
|
| 14/12/2016 |
16/01/2017 |
| 4. |
Notification of the Securities and Exchange Commission KorThor. 18/2549 |
Maintenance of Net Capital (Synopsis) |
|
|
| 02/05/2006 |
16/05/2006 |
| |  |
| | |
| | |
| 5. |
Notification of the Securities and Exchange Commission |
|
|
|
| 18/05/1992 |
|
| 6. |
Notification of the Office of the Securities and Exchange Commission 10/2546 |
|
|
|
| 10/07/2003 |
01/08/2003 |
| 7. |
Notification of the Office of the Securities and Exchange Commission 6/2544 |
|
|
|
| 11/01/2001 |
01/01/2001 |
| |  |
Report/Form (Notification of Securities and Exchange Commission) |
Report on Underwriting of Securities that are Debt Instruments |
|
|
 |
|
|
| 8. |
Notification of the Office of the Securities and Exchange Commission 11/2543 |
|
|
|
| 14/03/2000 |
03/04/2000 |
| 9. |
Notification of the Office of the Securities and Exchange Commission 85/2558 |
|
|
|
| 02/12/2015 |
16/12/2015 |
| 10. |
Notification of the Office of the Securities and Exchange Commission SorThor. 20/2554 |
Calculation and Report of Net Liquid Capital Calculation (No. 5) |
|
|
| 23/06/2011 |
01/07/2011 |
| 11. |
Notification of the Office of the Securities and Exchange Commission SorThor/Nor. 18/2554 |
Reporting on Investment of Securities Company according to Allocated Quota |
|
|
| 20/06/2011 |
01/07/2011 |
| 12. |
Notification of the Office of the Securities and Exchange Commission 2/2553 |
|
|
|
| 22/01/2010 |
01/03/2010 |
| 13. |
Notification of the Office of the Securities and Exchange Commission SorThor. 2/2552 |
Calculation and Report of Net Liquid Capital Calculation (No. 3) |
|
|
| 14/01/2009 |
01/02/2009 |
| 14. |
Notification of the Office of the Securities and Exchange Commission SorThor. 24/2550 |
Re: Calculation and Report of Net Liquid Capital Calculation (No. 2) |
|
|
| 20/08/2007 |
01/09/2007 |
| 15. |
Notification of the Office of the Securities and Exchange Commission SorThor. 23/2549 |
Re: Calculation and Report of Net Liquid Capital Calculation |
|
|
| 08/05/2006 |
16/05/2006 |
| | |
| | |
| | |
| 16. |
Notification of the Office of the Securities and Exchange Commission SorThor. 55/2546 |
Report Forms of Securities Companies (Synopsis) |
|
|
| 26/12/2003 |
01/01/2004 |
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Form Bor.Lor.2 Financial Status Report (Synopsis) |
|
|
|
|
|
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Form Bor.Lor 2/1 Income and Expenses Report (Synopsis) |
|
|
|
|
|
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Form Bor.Lor. 8 Report on Assets of Customers (Synopsis) |
|
|
|
|
|
| | |
| | |
| | |
| | |
| 17. |
Circular 24/2547 |
|
|
|
| 14/05/2004 |
|
| 18. |
Circular 7/2544 |
|
|
|
| 22/01/2001 |
|
| 19. |
Circular 16/2543 |
|
|
|
| 12/07/2000 |
|
| 20. |
Circular 2/2543 |
|
|
|
| 08/02/2000 |
|
| 21. |
Circular 28/2541 |
|
|
|
| 26/08/1998 |
|
| 22. |
Circular 30/2540 |
|
|
|
| 25/12/1997 |
|
| 23. |
Circular 11/2547 |
|
|
|
| 03/05/2004 |
|
| 24. |
Circular 1/2547 |
|
|
|
| 16/01/2004 |
|
| | |
| | |
| 25. |
Circular 5/2544 |
|
|
|
| 18/01/2001 |
|
| 26. |
Circular 18/2543 |
|
|
|
| 08/09/2000 |
|
| 27. |
Guideline |
|
|
|
| |
|
| 28. |
Guideline |
|
|
|
| 11/09/2014 |
01/10/2014 |
| 29. |
Guideline |
(Synopsis) |
|
|
| 17/02/2004 |
01/03/2004 |
| | |
| | |
1207
