Securities Underwriter Business >>

  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  KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments (Codified as of 25/10/2006) (Synopsis)   26/09/2000 01/01/2001
3. Notification of Capital Market Supervisory Board   63/2552 Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment Units (Synopsis)   03/08/2009 01/09/2009
4. Notification of the Office of the Securities and Exchange Commission  OrThor. 21/2543 Re: Guidelines for the Operation Control for the Securities Brokerage and Dealing of Securities That are Not Debt Instruments   11/10/2000