| |
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 Capital Market Supervisory Board Tor Thor. 60/2561 |
Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party |
|
 |
| 01/10/2018 |
16/11/2018 |
| |  |
Notification of the Office of the Securities and Exchange Commission Nor Por. 4/2561 |
Countries Recognized by the SEC Office concerning Supervisory Measures on Investment Management |
|
|
|
12/11/2018 |
|
| | |
Notification of the Office of the Securities and Exchange Commission Sor Thor. 51/2561 |
Outsourcing Function related to Business Operation to Third Party |
|
|
|
01/10/2018 |
16/11/2018 |
| 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 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 |
| 5. |
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 (Codefied) |
|
|
| 10/10/2014 |
01/01/2015 |
|  |
Notification of the Office of the Securities and Exchange Commission SorThor. 35/2557 |
Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries |
|
|
|
10/11/2014 |
01/01/2015 |
