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Securities Brokerage Business >> Business Conduct

  Type Title Section See Document Status Notified Date Effective Date
1. Act   Securities and Exchange Act 2535   98 12/03/1992 16/05/1992
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. 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
  
  
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 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
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
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 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   15/2558 Rules in Detail related to Proprietary Trading of Intermediaries (Synopsis) 07/04/2015 16/05/2015
8. 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
9. 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
10. Notification of Capital Market Supervisory Board  TorThor. 9/2554 Short Selling of ETF and Securities Being Underlying of ETF by a Securities Company   10/05/2011 01/06/2011
11. Notification of Capital Market Supervisory Board  TorThor. 18/2553 Selling of Securities in Foreign Country by Securities Company Without Having Possession   27/04/2010 16/05/2010
12. Notification of Capital Market Supervisory Board  TorThor 47/2552 Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities   03/08/2009 01/09/2009
  Circular   SEC. Nor Phor. (Wor) 27/2558 Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short. 04/09/2015
13. 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
14. 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