| |
Type |
Title |
Section |
See document |
Status |
Notified Date |
Effective Date |
|---|
| 1. |
Ministerial regulations |
|
|
|
 | 26/09/1996 |
04/10/1996 |
| 2. |
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 |
| 3. |
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 |
| 4. |
Notification of the Securities and Exchange Commission 52/2545 |
|
|
|
| 05/11/2002 |
16/11/2002 |
| 5. |
Notification of the Securities and Exchange Commission KorThor. 42/2543 |
Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments (Codified as of 25/10/2006) (Synopsis) |
|
|
| 26/09/2000 |
01/01/2001 |
| 6. |
Notification of Capital Market Supervisory Board 5/2556 |
|
|
|
| 15/02/2013 |
01/04/2013 |
| 7. |
Notification of Capital Market Supervisory Board TorThor/Khor/Dor/Nor. 62/2552 |
Determination for Securities Companies to Proceed with Customer Complaints |
|
|
| 03/08/2009 |
01/09/2009 |
| 8. |
Notification of Capital Market Supervisory Board 63/2552 |
Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment Units (Synopsis) |
|
|
| 03/08/2009 |
01/09/2009 |
| 9. |
Notification of the Office of the Securities and Exchange Commission 10/2543 |
|
|
|
| 14/03/2000 |
03/04/2000 |
| 10. |
Notification of the Office of the Securities and Exchange Commission OrThor. 21/2543 |
Re: Guidelines for the Operation Control for the Securities Brokerage and Dealing of Securities That are Not Debt Instruments |
|
|
| 11/10/2000 |
|
1207
