| |
Type |
Title |
Section |
See Document |
Status |
Notified Date |
Effective Date |
|---|
| 1. |
Act |
The Derivatives Act B.E. 2546 |
18 |
  |
 | 03/07/2003 |
06/01/2004 |
| 2. |
Notification of the Securities and Exchange Commission KorThor. 18/2554 |
Principles for Undertaking Securities and Derivatives Businesses |
|
 |
| 23/11/2011 |
01/12/2011 |
| 3. |
Notification of Capital Market Supervisory Board Tor Thor. 34/2556 |
Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary |
|
|
| 06/09/2013 |
01/04/2014 |
| 4. |
Notification of Capital Market Supervisory Board TorThor. 35/2556 |
Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied) |
|
|
| 06/09/2013 |
01/04/2014 |
|  |
Notification of Capital Market Supervisory Board TorThor. 35/2556 |
Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries |
|
|
|
06/09/2013 |
01/04/2014 |
| |  |
Notification of the Office of the Securities and Exchange Commission Sor Thor. 14/2558 |
Rules in Detail on the Protection and Management of Conflicts of Interest (Synopsis) |
|
|
|
07/04/2015 |
01/10/2015 |
| | |
Notification of the Office of the Securities and Exchange Commission Sor Thor. 68/2558 |
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary |
|
|
|
13/08/2015 |
16/09/2015 |
| | |
Notification of the Office of the Securities and Exchange Commission Sor Thor. 35/2557 |
Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Synopsis) |
|
|
|
10/10/2014 |
01/01/2015 |
| | |
Notification of the Office of the Securities and Exchange Commission Sor Thor. 15/2558 |
Rules in Detail related to Proprietary Trading of Intermediaries |
|
|
|
07/04/2015 |
16/05/2015 |
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Single Form for Capital Market (Individual) |
|
|
|
20/08/2020 |
01/07/2021 |
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Single Form for Capital Market (Juristic Investor) |
|
|
|
20/08/2020 |
01/07/2021 |
| 5. |
Notification of Capital Market Supervisory Board TorThor. 35/2556 |
Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied) |
|
|
| 06/09/2013 |
01/04/2014 |
| | |
Notification of the Office of the Securities and Exchange Commission Sor Thor. 35/2557 |
Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Synopsis) |
|
|
|
10/10/2014 |
01/01/2015 |
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Single Form for Capital Market (Individual) |
|
|
|
20/08/2020 |
01/07/2021 |
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Single Form for Capital Market (Juristic Investor) |
|
|
|
20/08/2020 |
01/07/2021 |
| 6. |
Notification of Capital Market Supervisory Board TorThor 39/2555 |
Providing Compliance Unit of an Intermediary (Codefied) |
|
|
| 14/08/2012 |
01/11/2012 |
| |
Notification of Capital Market Supervisory Board TorThor. 39/2555 |
Providing Compliance Unit of an Intermediary |
|
|
|
14/08/2012 |
01/11/2012 |
| 7. |
Report/ Form (Notification of Capital Market Supervisory Board) TorThor. 35/2556 |
Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied) |
|
|
| 06/09/2013 |
01/04/2014 |
| 8. |
Notification of the Office of the Securities and Exchange Commission Sor Thor. 38/2565 |
Rules in Detail on Establishment of Information Technology Systems |
|
|
| 28/09/2022 |
01/07/2023 |
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Appendix 1 : Glossary (Attached to the SEC Office Notification No. Sor Thor. 38/2565) |
|
|
|
|
|
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Appendix 2 : Information Technology Governance (Attached to the SEC Office Notification No. Sor Thor. 38/2565) |
|
|
|
|
|
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Appendix 3 : Information Technology Security (Attached to the SEC Office Notification No. Sor Thor. 38/2565) |
|
|
|
|
|
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Appendix 4 : Information Technology Audit (Attached to the SEC Office Notification No. Sor Thor. 38/2565) |
|
|
|
|
|
| 9. |
Notification of the Office of the Securities and Exchange Commission Nor Por. 7/2565 |
Guidelines on Establishment of Information Technology Systems |
|
|
| 28/09/2022 |
01/07/2023 |
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Appendix : Attached to the SEC Office Notification No. Nor Por. 7/256 |
|
|
|
|
|
