|
Type |
Title |
Section |
See Document |
Status |
Notified Date |
Effective Date |
1. |
Notification of the Securities and Exchange Commission  KorThor. 18/2554 |
Principles for Undertaking Securities and Derivatives Businesses |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) | 23/11/2011 |
01/12/2011 |
2. |
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) |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) | 17/01/2017 |
16/02/2017 |
| ![](/images/aWhite7.gif) |
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 |
|
![View MS Word File](/images/web_word.gif) ![View PDF File](/images/web_pdf_adjust.gif) |
![ใช้งาน](images/ready_flag.png) |
17/01/2017 |
16/02/2017 |
| |
| |
3. |
Notification of Capital Market Supervisory Board  Tor Thor. 27/2559 |
Rules, Conditions, and Procedures for Securities Underwriting (Codefied) |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) | 08/07/2016 |
01/08/2016 |
| ![](/images/dia_green.gif) |
Notification of the Securities and Exchange Commission Kor Jor. 17/2551 |
Determination of Definitions in Notifications relating to Issuance and Offer for Sale of Securities (Synopsis) |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) |
15/12/2008 |
15/12/2008 |
4. |
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 |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) | 06/09/2013 |
01/04/2014 |
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) |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) | 06/09/2013 |
01/04/2014 |
| ![](/images/dia_green.gif) |
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) |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) |
07/04/2015 |
01/10/2015 |
| ![](/images/dia_green.gif) |
Notification of the Office of the Securities and Exchange Commission 15/2558 |
Rules in Detail related to Proprietary Trading of Intermediaries (Synopsis) |
|
|
![in force](images/ready_flag.png) |
07/04/2015 |
16/05/2015 |
6. |
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) |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) | 06/09/2013 |
01/04/2014 |
| ![](/images/aWhite7.gif) |
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 |
|
![View MS Word File](/images/web_word.gif) |
![ใช้งาน](images/ready_flag.png) |
06/09/2013 |
01/04/2014 |
| ![](/images/dia_green.gif) |
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) |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) |
07/04/2015 |
01/10/2015 |
| ![](/images/dia_green.gif) |
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 |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) |
13/08/2015 |
16/09/2015 |
| ![](/images/dia_green.gif) |
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) |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) |
10/10/2014 |
01/01/2015 |
| ![](/images/dia_green.gif) |
Notification of the Office of the Securities and Exchange Commission Sor Thor. 15/2558 |
Rules in Detail related to Proprietary Trading of Intermediaries |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) |
07/04/2015 |
16/05/2015 |
| ![](/images/dia_green.gif) |
Report/Form (Notification of Securities and Exchange Commission) |
Single Form for Capital Market (Individual) |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) |
20/08/2020 |
01/07/2021 |
| ![](/images/dia_green.gif) |
Report/Form (Notification of Securities and Exchange Commission) |
Single Form for Capital Market (Juristic Investor) |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) |
20/08/2020 |
01/07/2021 |
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) |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) | 06/09/2013 |
01/04/2014 |
8. |
Notification of Capital Market Supervisory Board  TorThor 39/2555 |
Providing Compliance Unit of an Intermediary (Codefied) |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) | 14/08/2012 |
01/11/2012 |
| ![](/images/aWhite7.gif) |
Notification of Capital Market Supervisory Board TorThor. 39/2555 |
Providing Compliance Unit of an Intermediary |
|
![View MS Word File](/images/web_word.gif) ![View PDF File](/images/web_pdf_adjust.gif) |
![ใช้งาน](images/ready_flag.png) |
14/08/2012 |
01/11/2012 |
9. |
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) |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) | 06/09/2013 |
01/04/2014 |
10. |
Notification of the Office of the Securities and Exchange Commission  SorOr. 6/2557 |
Verification of Foreign Collective Investment Scheme and Announcement of Qualifying Scheme |
|
![View MS Word File](/images/web_word.gif) ![View PDF Readable File](images/web_pdf_readable.png) ![View PDF File](/images/web_pdf_adjust.gif) |
![in force](images/ready_flag.png) | 02/06/2014 |
01/07/2014 |