|
Type |
Title |
Section |
See document |
Status |
Notified Date |
Effective Date |
1. |
Ministerial regulations 15/2543 |
|
|
|
![no longer in force](images/cancel_flag.png) | 28/08/2000 |
|
2. |
Notification of the Securities and Exchange Commission 45/2545 |
|
|
|
![no longer in force](images/cancel_flag.png) | 24/10/2002 |
16/11/2002 |
3. |
Notification of the Securities and Exchange Commission 14/2545 |
|
|
|
![no longer in force](images/cancel_flag.png) | 19/02/2002 |
22/02/2002 |
4. |
Notification of the Securities and Exchange Commission 7/2560 |
|
|
|
![no longer in force](images/cancel_flag.png) | 16/02/2017 |
01/03/2017 |
5. |
Notification of the Securities and Exchange Commission KorKhor 7/2551 |
Determination of Paid-Up Registered Capital of Securities Company |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![no longer in force](images/cancel_flag.png) | 08/05/2008 |
01/06/2008 |
6. |
Notification of the Securities and Exchange Commission 28/2547 |
|
|
|
![no longer in force](images/cancel_flag.png) | 27/05/2004 |
16/06/2004 |
7. |
Notification of the Securities and Exchange Commission 37/2543 |
|
|
|
![no longer in force](images/cancel_flag.png) | 18/09/2000 |
28/09/2000 |
| ![](/images/dia_green.gif) |
Report/Form (Notification of Securities and Exchange Commission) |
Form 90-12 Application for an Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business in the Category of Private Fund Management |
|
|
![in force](images/ready_flag.png) |
|
|
| ![](/images/dia_green.gif) |
Report/Form (Notification of Securities and Exchange Commission) |
Documents for an Application for an Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business in the Category of Private Fund Management |
|
|
![in force](images/ready_flag.png) |
|
|
| ![](/images/dia_green.gif) |
Report/Form (Notification of Securities and Exchange Commission) |
Certified Form Relating to Acting in Compliance with Related Laws of Applicant who is Juristic Person/Financial Institution or Individual |
|
|
![in force](images/ready_flag.png) |
|
|
| ![](/images/dia_green.gif) |
Report/Form (Notification of Securities and Exchange Commission) |
Form 90-13 Application for a License to Undertake Securities Business in the Category of Private Fund Management |
|
|
![in force](images/ready_flag.png) |
|
|
| ![](/images/dia_green.gif) |
Report/Form (Notification of Securities and Exchange Commission) |
Documents for an Application for a License to Undertake Securities Business in the Category of Private Fund Management |
|
|
![in force](images/ready_flag.png) |
|
|
| ![](/images/dia_green.gif) |
Report/Form (Notification of Securities and Exchange Commission) |
Guidelines for Filling in an Application for an Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business in the Category of Private Fund Management (Form 90-12) and Application for a License to Undertak |
|
|
![in force](images/ready_flag.png) |
|
|
8. |
Notification of the Securities and Exchange Commission 10/2541 |
|
|
|
![no longer in force](images/cancel_flag.png) | 26/02/1998 |
28/02/1998 |
9. |
Notification of the Securities and Exchange Commission 12/2539 |
|
|
|
![no longer in force](images/cancel_flag.png) | 06/08/1996 |
|
10. |
Notification of the Securities and Exchange Commission KorKhor 6/2551 |
Determination of Paid-Up Registered Capital of Person Applying for Securities Business License under Ministerial Regulation Concerning Granting of License for Undertaking Securities Business B.E. 2551 2008) |
14 |
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![no longer in force](images/cancel_flag.png) | 08/05/2008 |
01/06/2008 |
11. |
Notification of Capital Market Supervisory Board Tor Nor 89/2558 |
Rules for Management of Retail Funds,Mutual Funds for Accredited Investors, Mutual Funds for Institutional Investors and Private Funds (Synopsis) |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![no longer in force](images/cancel_flag.png) | 17/12/2015 |
16/01/2016 |
12. |
Notification of Capital Market Supervisory Board TorThor/Khor/Dor/Nor 1/2552 |
Establishment of Audit Committee of Securities Companies |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![no longer in force](images/cancel_flag.png) | 26/01/2009 |
01/03/2009 |
13. |
Notification of the Office of the Securities and Exchange Commission 59/2546 |
(Synopsis) |
|
|
![no longer in force](images/cancel_flag.png) | 31/12/2006 |
|
14. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 14-1 Report on Gross Operating Income for Annual Transaction Levy Calculation |
|
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![no longer in force](images/cancel_flag.png) | |
|
15. |
Circular 5/2552 |
|
|
|
![no longer in force](images/cancel_flag.png) | 29/01/2009 |
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