| |
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 4/2548 |
|
|
|
| 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. 58/2552 |
Qualifications and Other Prohibited Characteristics of Directors and Executives of Securities Companies (Codified) (Synopsis) |
|
|
| 03/08/2009 |
01/09/2009 |
| 5. |
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 |
| 6. |
Notification of Capital Market Supervisory Board 85/2552 |
|
|
|
| 03/08/2009 |
01/09/2009 |
| |  |
| 7. |
Notification of Capital Market Supervisory Board 57/2552 |
|
|
|
| 03/08/2009 |
01/09/2009 |
| 8. |
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 |
| | |
| | |
| 9. |
Notification of the Office of the Securities and Exchange Commission 12/2558 |
|
|
|
| 03/04/2015 |
01/06/2015 |
| 10. |
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 |
| 11. |
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 |
| 12. |
Notification of the Office of the Securities and Exchange Commission OrThor/Nor/Khor. 11/2548 |
Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of a Derivatives Business Operator |
|
|
| 31/10/2005 |
01/11/2005 |
| | |
| 13. |
Report/Form (Notification of Securities and Exchange Commission) |
|
|
|
| 16/11/2008 |
|
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