| |
Type |
Title |
Section |
See Document |
Status |
Notified Date |
Effective Date |
|---|
| 1. |
Notification of Capital Market Supervisory Board Tor Thor. 1/2560 |
Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency (Codefied) |
|
   |
 | 17/01/2017 |
16/02/2017 |
|  |
Notification of Capital Market Supervisory Board Tor Thor. 1/2560 |
Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency |
|
|
|
17/01/2017 |
16/02/2017 |
| |  |
| | |
| 2. |
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 |
| | |
Notification of the Office of the Securities and Exchange Commission Sor Thor. 68/2558 |
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary |
|
|
|
13/08/2015 |
16/09/2015 |
| | |
Notification of the Office of the Securities and Exchange Commission Sor Thor. 35/2557 |
Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Synopsis) |
|
|
|
10/10/2014 |
01/01/2015 |
| | |
Notification of the Office of the Securities and Exchange Commission Sor Thor. 15/2558 |
Rules in Detail related to Proprietary Trading of Intermediaries |
|
|
|
07/04/2015 |
16/05/2015 |
| 3. |
Notification of the Office of the Securities and Exchange Commission SorOr. 6/2557 |
Verification of Foreign Collective Investment Scheme and Announcement of Qualifying Scheme |
|
|
| 02/06/2014 |
01/07/2014 |
