| |
Type |
Title |
Section |
See document |
Status |
Notified Date |
Effective Date |
|---|
| 1. |
Notification of the Securities and Exchange Commission 22/2546 |
|
|
|
 | 18/09/2003 |
16/10/2003 |
| 2. |
Notification of the Securities and Exchange Commission 32/2545 |
(Synopsis) |
|
|
| 28/03/2002 |
16/04/2002 |
| 3. |
Notification of the Securities and Exchange Commission 47/2540 |
|
|
|
| 31/12/1997 |
31/12/1997 |
| 4. |
Notification of the Securities and Exchange Commission 19/2545 |
|
|
|
| 07/03/2002 |
|
| 5. |
Notification of the Securities and Exchange Commission 14/2541 |
(Synopsis) |
|
|
| 12/05/1998 |
|
| 6. |
Notification of the Securities and Exchange Commission 5/2539 |
(Synopsis) |
|
|
| 13/07/1996 |
|
| 7. |
Notification of the Securities and Exchange Commission |
(Synopsis) |
|
|
| 18/05/1992 |
|
| 8. |
Notification of Capital Market Supervisory Board 23/2556 |
|
|
|
| 04/04/2013 |
01/05/2013 |
| 9. |
Notification of the Office of the Securities and Exchange Commission 46/2545 |
(Synopsis) |
|
|
| 19/12/2002 |
01/01/2003 |
| 10. |
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 |
| 11. |
Notification of the Office of the Securities and Exchange Commission SorThor 49/2549 |
Rules on Exemption from Appointment of Independent Director of Securities Companies |
|
  |
| 28/12/2006 |
01/01/2007 |
| 12. |
Notification of the Office of the Securities and Exchange Commission 6/2548 |
(Synopsis) |
|
|
| 08/04/2005 |
01/05/2005 |
| |  |
| 13. |
Notification of the Office of the Securities and Exchange Commission SorThor. 55/2546 |
Report Forms of Securities Companies (Synopsis) |
|
|
| 26/12/2003 |
01/01/2004 |
| |  |
Report/Form (Notification of Securities and Exchange Commission) |
Form Bor.Lor.2 Financial Status Report (Synopsis) |
|
|
 |
|
|
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Form Bor.Lor 2/1 Income and Expenses Report (Synopsis) |
|
|
|
|
|
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Form Bor.Lor. 8 Report on Assets of Customers (Synopsis) |
|
|
|
|
|
| | |
| | |
| | |
| | |
| 14. |
Notification of the Office of the Securities and Exchange Commission SorThor 27/2546 |
Calculation and Report of Capital Funds Calculation of Securities Companies in the Category of Securities Financing |
|
|
| 03/10/2003 |
01/10/2003 |
| | |
| | |
| 15. |
Notification of the Office of the Securities and Exchange Commission 4/2544 |
|
|
|
| 11/01/2001 |
01/01/2001 |
| 16. |
Notification of the Office of the Securities and Exchange Commission OrThor/Nor. 7/2541 |
Re: Approval of Auditors of Securities Companies and Finance and Securities Companies |
|
|
| 15/05/1998 |
03/06/1998 |
| 17. |
Notification of the Office of the Securities and Exchange Commission 29/2540 |
|
|
|
| 28/07/1997 |
30/06/1997 |
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Form BorLorTor.1 |
|
|
|
|
|
| 18. |
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) |
|
|
| |
|
| 19. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 90-22 Application for an Approval on Establishment of a Company to Undertake Securities Business in the Category of Inter-Dealer Broker |
|
|
| |
|
| 20. |
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) |
|
|
| |
|
| 21. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 90-23 Application for a License to Undertake Securities Business in the Category of Inter-Dealer Broker |
|
|
| |
|
| 22. |
Report/Form (Notification of Securities and Exchange Commission) |
Form Bor.Lor.Lor. 1 Capital Fund Calculation Form |
|
|
| |
|
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Appendix Form BorLor.Lor 1 |
|
|
|
|
|
| 23. |
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) |
|
|
| |
|
| 24. |
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) |
|
|
| |
|
| 25. |
Circular 5/2543 |
|
|
|
| 29/02/2000 |
|
| 26. |
Circular 2/2550 |
|
|
|
| 22/01/2007 |
|
| 27. |
Circular 3/2550 |
|
|
|
| 22/01/2007 |
|
| 28. |
Circular 11/2547 |
|
|
|
| 03/05/2004 |
|
| 29. |
Circular 9/2546 |
|
|
|
| 19/06/2003 |
|
| 30. |
Circular 1/2543 |
|
|
|
| 13/01/2000 |
|
| 31. |
Circular 179/2540 |
|
|
|
| 18/09/1997 |
|
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