Securities and Exchange Commission Thailand

Default


Securities Brokerage Business
|-
Licensing / Registered Capital / Fees
|- |-
Licensing (Section 90)
|- |-
Registered Capital (Section 96)
|- |-
Revocation of License (Section 147)
|- |-
Decrease in Registered Capital (Section 98(1))
|- |-
Fees (Section 14, 19)
|-
Business Conduct
|- |-
Securities Brokerage (Section 113)
|- |-
Brokerage of capital market product denominated in foreign currency
|- |-
Short Sale Provisions (section 98(5))
|- |-
Know Your Clients
|- |-
Books & Records Requirements
|- |-
Risk Control
|- |-
Compliance / Internal Control
|- |-
Conflict of Interest
|-
Securities Lending / Credit Balance (Section 102)
|-
Protection of Customer Assets (Section 98(3))
  
Business Operation Rules
|-
Net Liquid Capital Rule (Section 97)
|-
Executives / Personnel
|- |-
Approval & Qualifications (Section 103, 104)
|-
Major Shareholders
|- |-
Approval & Qualifications (Section 90, 91)
|-
Audit Committee (Section 89/25)
|-
Engagement in Related Businesses
|- |-
OTC & Derivatives Businesses (Section 98(4))
|- |-
Engagement in Other Businesses (Section 98(8))
|- |-
Selling Agents (Section 100)
|-
Internal operation of Securities Companies
|- |-
Proprietary Investment (Section 98(7))
|- |-
Accept purchasing or selling orders outside head office or branch
|- |-
Outsourcing Services
|- |-
Joint Management Agreement / Other Agreements
|-
Auditors
|- |-
Approval (Section 106)
|-
Accounting and Financial Statements (Section 105, 106)
|-
Reporting Requirements (Section 109)
|-
Disclosure
|- |-
Advertising (Section 98(10))
|- |-
Securities Businesses (Section 108)
|-
Branch Offices / Representative Offices (Section 92, 93)
|- |-
Branches (Section 92)
|- |-
Representatives Offices Establishment (Section 93)
|-
Complaint Handling
|-
Anti-money Laundering
|-
Information Technology
|-
Business Continuity Management (BCM)
|-
Arbitration
|-
Appeal
|-
Others
|- |-
Public Holidays (Section 110)
|- |-
Segregation of Finance and Securities Business & Merger (Section 90)
|- |-
Related Organizations with Securities Business (Section 230)
|- |-
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
Copyright www.sec.or.th 2013 Privacy Policy | Disclaimer | Site Map