Securities and Exchange Commission Thailand

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Securities Borrowing and Lending
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Fees (section 14 and 19)
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Major Shareholders
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Branch Office
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Net Liquid Capital (section 97)
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Capital Reduction
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Anti-fraud Provisions (section 98(3))
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Forward Transactions/OTC Equity Derivatives Transactions (section 98(4))
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Securities Borrowing and Lending (section 98(5))
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Short Sale Provisions (section 98(5))
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Proprietary Trading
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Other Business Undertaken by Securities Companies
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Advertising (section 98(10))
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Statutory Disqualifications for Management (section 103)
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Management Approval and Revocation (section 104)
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Accounting and Records (section 105)
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Audited Financial Statements & Auditor Approval (section 106)
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Public Disclosure (section 108)
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Reporting & Notification Requirements (section 109)
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Revocation of License (section 147)
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Service Outsourcing Guide for Securities Companies
  
Others (Securities Business)
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Separation of Securities and Finance Businesses & Merger (section 90)
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Representatives Office of foreign securities companies (section 93)
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Holidays (section 110)
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Securities Registrar Business (section 222)
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Association Related to Securities Businesses (section 230)
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Terms and Condition for Information Technology
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Anti-Money Laundering and Combating of Terrorist Financing
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Others
  

The Securities and Exchange Commission, Thailand
333/3 Vibhavadi-Rangsit Road, Chomphon , Chatuchak Bangkok 10900, Thailand
Tel. +66 2033 9999 Fax. +66 2033 9660
e-mail : info@sec.or.th
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