| |
Type |
Title |
Section |
See document |
Status |
Notified Date |
Effective Date |
|---|
| 1. |
Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4/2548 |
Qualifications and Other Prohibited Characteristics of Executives of Securities Companies (Synopsis) |
|
   |
 | 17/01/2005 |
01/03/2005 |
| 2. |
Notification of the Securities and Exchange Commission 3/2548 |
|
|
|
| 17/01/2005 |
01/03/2005 |
| 3. |
Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 58/2552 |
Qualifications and Other Prohibited Characteristics of Directors and Executives of Securities Companies (Codified) (Synopsis) |
|
|
| 03/08/2009 |
01/09/2009 |
| 4. |
Notification of Capital Market Supervisory Board 85/2552 |
|
|
|
| 03/08/2009 |
01/09/2009 |
| |  |
| 5. |
Notification of Capital Market Supervisory Board 57/2552 |
|
|
|
| 03/08/2009 |
01/09/2009 |
| 6. |
Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 26/2551 |
Rules, Conditions and Procedures for Being Executive of Securities Companies |
|
|
| 05/11/2008 |
16/11/2008 |
| | |
| | |
| 7. |
Notification of the Office of the Securities and Exchange Commission 12/2542 |
(Synopsis) |
|
|
| 05/10/1999 |
|
| 8. |
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 |
| 9. |
Notification of the Office of the Securities and Exchange Commission |
Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) |
|
|
| 01/02/2010 |
01/02/2010 |
| 10. |
Notification of the Office of the Securities and Exchange Commission 6/2548 |
(Synopsis) |
|
|
| 08/04/2005 |
01/05/2005 |
| | |
| 11. |
Notification of the Office of the Securities and Exchange Commission OrThor/Nor. 3/2542 |
Re: Code of Ethics for the Executives of the Securities Company |
|
|
| 17/02/1999 |
|
| 12. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 104-3 Application Form for an Approval of Executive of Securites Comnpanies |
|
|
| |
|
| 13. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 104-4 Certification of Executive Profile of Securities Company |
|
|
| |
|
| 14. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 104-5 Form for Changing of Position of Power of Management of Persons Approved by the Office |
|
|
| |
|
| 15. |
Report/Form (Notification of Securities and Exchange Commission) |
(Synopsis) |
|
|
| 12/11/2007 |
01/01/2008 |
| 16. |
Report/Form (Notification of Securities and Exchange Commission) |
|
|
|
| 12/11/2007 |
01/01/2008 |
| 17. |
Report/Form (Notification of Securities and Exchange Commission) |
(Synopsis) |
|
|
| 12/11/2007 |
01/01/2008 |
| 18. |
Report/Form (Notification of Securities and Exchange Commission) |
|
|
|
| 16/11/2008 |
|
| 19. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 104-7 Certified Letter of Executive Profile of the Securities Company (as of 1 May 2004) |
|
|
| |
|
| 20. |
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 25 July 2006) (Synopsis) |
|
|
| |
|
| 21. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 104-2/OrPor 24-2 Certified Statement Form on Profile of the Applicant to be an Executive of the Securities Company or the Derivatives Business Operator (Form as of 25 July 2006) (Synopsis) |
|
|
| |
|
| 22. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 104-6 Approval Form for an Appointment of Person as the Executive the Securities Company (as of 1 May 2005) |
|
|
| |
|
| 23. |
Circular 12/2553 |
|
|
|
| 24/05/2010 |
|
| | |
| 24. |
Circular 23/2552 |
|
|
|
| 06/08/2009 |
|
| 25. |
Circular 16/2549 |
|
|
|
| 07/08/2006 |
|
| 26. |
Circular 10/2548 |
|
|
|
| 06/05/2005 |
|
| 27. |
Circular 8/2548 |
|
|
|
| 28/02/2005 |
|
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