| |
Type |
Title |
Section |
See Document |
Status |
Notified Date |
Effective Date |
|---|
| 1. |
Act |
Securities and Exchange Act 2535 |
112 |
  |
 | 12/03/1992 |
16/05/1992 |
| 2. |
Act |
Securities and Exchange Act 2535 |
113 |
|
| 12/03/1992 |
16/05/1992 |
| 3. |
Act |
Securities and Exchange Act 2535 |
114 |
|
| 12/03/1992 |
16/05/1992 |
| 4. |
Act |
Securities and Exchange Act 2535 |
116 |
|
| 12/03/1992 |
16/05/1992 |
| 5. |
Notification of Capital Market Supervisory Board Tor Thor. 1/2560 |
Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency (Codefied) |
|
 |
| 17/01/2017 |
16/02/2017 |
|  |
Notification of Capital Market Supervisory Board Tor Thor. 1/2560 |
Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency |
|
|
|
17/01/2017 |
16/02/2017 |
| |  |
| | |
| 6. |
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 |
| 7. |
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 |
| 8. |
Notification of Capital Market Supervisory Board TorKhor. 35/2553 |
Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving
Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds (Codefied) |
|
|
| 14/09/2010 |
01/10/2010 |
| |
Notification of Capital Market Supervisory Board TorKhor 35/2553 |
Rules, ConditioRules, Conditions and Procedures for Appointment of Agents for Selling Investment ns and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds |
|
|
|
14/09/2010 |
01/10/2010 |
| 9. |
Notification of the Office of the Securities and Exchange Commission SorOr. 6/2557 |
Verification of Foreign Collective Investment Scheme and Announcement of Qualifying Scheme |
|
|
| 02/06/2014 |
01/07/2014 |
