| |
Type |
Title |
Section |
See document |
Status |
Notified Date |
Effective Date |
|---|
| 1. |
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 |
| 2. |
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 |
| |  |
| | |
| 3. |
Notification of the Office of the Securities and Exchange Commission 12/2542 |
(Synopsis) |
|
|
| 05/10/1999 |
|
| 4. |
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 |
| 5. |
Notification of the Office of the Securities and Exchange Commission 6/2548 |
(Synopsis) |
|
|
| 08/04/2005 |
01/05/2005 |
| | |
| 6. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 104-3 Application Form for an Approval of Executive of Securites Comnpanies |
|
|
| |
|
| 7. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 104-4 Certification of Executive Profile of Securities Company |
|
|
| |
|
| 8. |
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 |
|
|
| |
|
| 9. |
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) |
|
|
| |
|
| 10. |
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) |
|
|
| |
|
| 11. |
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) |
|
|
| |
|
| 12. |
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) |
|
|
| |
|
| 13. |
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) |
|
|
| |
|
| 14. |
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) |
|
|
| |
|
| 15. |
Circular 19/2543 |
|
|
|
| 26/09/2000 |
|
| 16. |
Circular 8/2537 |
|
|
|
| 07/06/1994 |
|
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