| |
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 35/2548 |
|
|
|
| 13/09/2005 |
01/11/2005 |
| 3. |
Notification of the Securities and Exchange Commission 37/2548 |
(Synopsis) |
|
|
| 13/09/2005 |
01/11/2005 |
| 4. |
Notification of Capital Market Supervisory Board TorThor/Nor/Khor 37/2553 |
Prohibited Characteristics of Personnel in Capital Market Industry |
|
 |
| 15/09/2010 |
01/10/2010 |
| 5. |
Notification of Capital Market Supervisory Board 85/2552 |
|
|
|
| 03/08/2009 |
01/09/2009 |
| |  |
| 6. |
Notification of Capital Market Supervisory Board TorThor/Nor/Khor 87/2552 |
Qualifications and Prohibited Characteristics of Directors and Executives of Derivatives Business Operators (Codified) (Synopsis) |
|
|
| 03/08/2009 |
01/09/2009 |
| 7. |
Notification of the Office of the Securities and Exchange Commission SorThor. 7/2557 |
Rules on Appointing Independent Director of an Intermediary |
|
  |
| 03/06/2014 |
01/07/2014 |
| 8. |
Notification of the Office of the Securities and Exchange Commission |
Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) |
|
|
| 01/02/2010 |
01/02/2010 |
| 9. |
Notification of the Office of the Securities and Exchange Commission SorThor 50/2549 |
Rules on Waiver for Appointment of Independent Director of Derivatives Broker |
|
|
| 28/12/2006 |
01/01/2007 |
| 10. |
Notification of the Office of the Securities and Exchange Commission OrThor/Nor/Khor. 11/2548 |
Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of a Derivatives Business Operator |
|
|
| 31/10/2005 |
01/11/2005 |
| | |
| 11. |
Report/Form (Notification of Securities and Exchange Commission) |
Form OrPor 24-1 Form for an Approval of Appointment of Person as the Executive of Derivatives Business Operator (as of 1 November 2005) |
|
|
| |
|
| 12. |
Report/Form (Notification of Securities and Exchange Commission) |
Form OrPor 24-2 Certified Statement Form for an Approval of Appointment of Person as the Executive of Derivatives Business Operator (as of 1 November 2005) |
|
|
| |
|
| 13. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 104-1/OrPor 24-1 Application for an Approval of Appointment of Person as an Executive of the Securities Company or the Derivatives Business Operator (Form as of 1 July 2006) |
|
|
| |
|
| 14. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 104-2/OrPor 24-2 Certified Statement Form for an Approval of Appointment of Person as an Executive of the Securities Company or the Derivatives Business Operator (Form as of 1 July 2006) |
|
|
| |
|
1207
