| |
Type |
Title |
Section |
See document |
Status |
Notified Date |
Effective Date |
|---|
| 1. |
Notification of the Securities and Exchange Commission 3/2548 |
|
|
|
 | 17/01/2005 |
01/03/2005 |
| 2. |
Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4/2548 |
Qualifications and Other Prohibited Characteristics of Executives of Securities Companies (Synopsis) |
|
   |
| 17/01/2005 |
01/03/2005 |
| 3. |
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 |
| 4. |
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 |
| |  |
| | |
| 5. |
Notification of the Office of the Securities and Exchange Commission OrThor/Nor. 3/2542 |
Re: Code of Ethics for the Executives of the Securities Company |
|
|
| 17/02/1999 |
|
| 6. |
Circular 2/2550 |
|
|
|
| 22/01/2007 |
|
| 7. |
Circular 4/2548 |
|
|
|
| 25/02/2005 |
|
| 8. |
Circular 13/2544 |
|
|
|
| 22/02/2001 |
|
| |  |
Report/Form (Notification of Securities and Exchange Commission) |
Request Form for Examining Information of Persons who the Securities Company will Appoint as Executive |
|
|
 |
|
|
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Form 103-1 List of Information Intend to Examine by the Securities Company |
|
|
|
|
|
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Consent Form for Personal Information Disclosure |
|
|
|
|
|
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