Derivatives Advisors >>

  Type Title Section See document Status Notified Date Effective Date
1. 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
2. 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
3. Notification of the Securities and Exchange Commission   34/2548    13/09/2005 01/11/2005
4. Notification of the Securities and Exchange Commission   35/2548    13/09/2005 01/11/2005
5. Notification of the Securities and Exchange Commission   37/2548 (Synopsis)   13/09/2005 01/11/2005
6. Notification of the Securities and Exchange Commission   16/2547    08/03/2004 16/03/2004
7. Notification of Capital Market Supervisory Board   23/2556    04/04/2013 01/05/2013
8. 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
9. 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
10. Notification of Capital Market Supervisory Board   85/2552    03/08/2009 01/09/2009
  
11. Notification of Capital Market Supervisory Board  TorKhor. 4/2551 Rules for Undertaking Derivatives Business for Registered Derivatives Advisors   02/04/2008 16/04/2008
12. 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
13. Circular   3/2553    01/02/2010 01/02/2010