| |
Type |
Title |
Section |
See document |
Status |
Notified Date |
Effective Date |
|---|
| 1. |
Notification of the Securities and Exchange Commission Kor Thor. 25/2560 |
Specification of Paid-up Registered Capital of Securities Business License Applicant and Licensee |
|
   |
 | 31/10/2017 |
01/12/2017 |
| 2. |
Notification of the Securities and Exchange Commission Kor Jor. 4/2560 |
Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor |
|
|
| 08/02/2017 |
16/02/2017 |
| 3. |
Notification of the Securities and Exchange Commission KorChor. 9/2555 |
Determination of Definitions of Institutional and High Net Worth Investors |
|
|
| 09/07/2012 |
01/08/2012 |
| 4. |
Notification of the Securities and Exchange Commission KorNor. 23/2544 |
Re: Rules, Conditions and Procedures for Investment Advisors and Appointment of Investment Advisory Agents (codified as of 28/02/2005) (Synopsis) |
|
|
| 14/09/2001 |
01/03/2002 |
| |  |
Report/Form (Notification of Securities and Exchange Commission) |
Application for an Approval of Work Systems Relating to Undertaking of Securities Business in the Category of Investment Advisory Service of Licensed Securities Companies |
|
|
 |
|
|
| 5. |
Notification of the Securities and Exchange Commission 8/2545 |
|
|
|
| 01/02/2002 |
01/02/2002 |
| 6. |
Notification of the Securities and Exchange Commission |
|
|
|
| 18/03/1993 |
|
| 7. |
Notification of Capital Market Supervisory Board |
|
|
|
| 08/10/2021 |
01/11/2021 |
| 8. |
Notification of Capital Market Supervisory Board 23/2556 |
|
|
|
| 04/04/2013 |
01/05/2013 |
| 9. |
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 |
| 10. |
Notification of Capital Market Supervisory Board Tor Khor. 3/2553 |
Rules, Conditions and Procedures for Undertaking Investment Advisory Business (Synopsis) |
|
|
| 01/02/2010 |
01/02/2010 |
| 11. |
Notification of Capital Market Supervisory Board TorThor/Khor/Dor/Nor. 62/2552 |
Determination for Securities Companies to Proceed with Customer Complaints |
|
|
| 03/08/2009 |
01/09/2009 |
| 12. |
Notification of Capital Market Supervisory Board 57/2552 |
|
|
|
| 03/08/2009 |
01/09/2009 |
| 13. |
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 |
| 14. |
Notification of Capital Market Supervisory Board TorKhor. 68/2552 |
Rules, Conditions and Procedures for Undertaking of Investment Advisory Business and Appointment of Investment Advisory Agent |
|
|
| 03/08/2009 |
01/09/2009 |
| 15. |
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 |
| |  |
| | |
| 16. |
Notification of the Office of the Securities and Exchange Commission 1/2561 |
|
|
|
| 04/01/2018 |
01/02/2018 |
| 17. |
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 |
| 18. |
Notification of the Office of the Securities and Exchange Commission 40/2544 |
|
|
|
| 28/09/2001 |
01/10/2001 |
| 19. |
Notification of the Office of the Securities and Exchange Commission 45/2556 |
|
|
|
| 18/12/2013 |
|
| 20. |
Circular 3/2553 |
|
|
|
| 01/02/2010 |
01/02/2010 |
| 21. |
Circular 7/2548 |
|
|
|
| 24/02/2005 |
24/02/2005 |
| 22. |
Circular KorNor. 46/2544 |
|
|
|
| 05/10/2001 |
|
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