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  Type Title Section See Document Notified Date Effective Date
1. 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
2. Notification of the Securities and Exchange Commission  KorNor 43/2549 Investment Management Which Is Not Regarded as Private Fund Management   27/12/2006 16/01/2007
3. 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
4. Notification of the Securities and Exchange Commission  KorKhor. 5/2551 Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E.2551 (2008)   14 08/05/2008 01/06/2008
  
  
  
5. Notification of Capital Market Supervisory Board  TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied)   06/09/2013 01/04/2014
Notification of Capital Market Supervisory Board  TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries 06/09/2013 01/04/2014
  Notification of the Office of the Securities and Exchange Commission   Sor Thor. 14/2558 Rules in Detail on the Protection and Management of Conflicts of Interest (Synopsis) 07/04/2015 01/10/2015
6. 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
7. Notification of the Office of the Securities and Exchange Commission  SorNor 19/2553 Establishment of Mutual Funds and Execution of Agreements for Management of Private Funds (No. 4)   31/05/2010 01/07/2010
8. Notification of the Office of the Securities and Exchange Commission  SorNor 14/2553 Establishment of Mutual Funds and Execution of Agreements for Management of Private Funds (No. 3)   13/05/2010 16/06/2010
  Circular   Nor.(Wor) 19/2553 Delivery of Notifications and Clarification Notes 09/06/2010
9. Notification of the Office of the Securities and Exchange Commission  SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours   29/05/2007 01/06/2007
10. Notification of the Office of the Securities and Exchange Commission   5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business (Codefied)   08/03/2006 16/04/2006
Notification of the Office of the Securities and Exchange Commission  OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business 08/03/2006 16/04/2006
  
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