Securities and Exchange Commission Thailand

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Laws and regulations listed by notified year
Laws and regulations listed by notified year
 
Issued Year     
All
Ministerial Regulations
Notification of the Securities and Exchange Commission
Notification of Capital Market Supervisory Board
Notification of the Office of the Securities and Exchange Commission
Circular
Guideline
Notification No. Notified Date Title See Document Gazette Issued Date Status
Kor 3 17/01/2018 Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers, and Underwriters Limited to Investment Units and Derivatives Fund Management Companies In use
 Report/Form (Notification of Securities and Exchange Commission)
 Notification of the Office of the Securities and Exchange Commission Sor Thor. 12/2561
Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and Derivatives Fund Management Companies and Provisions in Case..
 Report/Form (Notification of Securities and Exchange Commission)
 Report/Form (Notification of Securities and Exchange Commission)
 Report/Form (Notification of Securities and Exchange Commission)
 Report/Form (Notification of Securities and Exchange Commission)
 Notification of Capital Market Supervisory Board 15/2561
 Circular 5/2561
Kor 4 17/01/2018 Maintenance of Capital of Investment Advisors and Derivatives Advisors In use
 Notification of the Office of the Securities and Exchange Commission Sor Thor. 13/2561
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
 Circular 2/2561
 Report/Form (Notification of Securities and Exchange Commission)
Sor 12 17/01/2018 Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and Derivatives Fund Management Companies and Provisions in Case.. In use
 Report/Form (Notification of Securities and Exchange Commission)
 Report/Form (Notification of Securities and Exchange Commission)
 Report/Form (Notification of Securities and Exchange Commission)
 Report/Form (Notification of Securities and Exchange Commission)
Sor 13 17/01/2018 Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital In use
 Circular 2/2561
 Report/Form (Notification of Securities and Exchange Commission)
Tor 17 17/01/2018 Re : Application for and Approval of Offer for Sale of Newly Issued Debt Securities In use
38 16/07/2018 Preparation of Report on Changes to the Securities and Derivatives Holding of Director, Executive, Auditor, Plan Preparer and Plan Administrator In use
 Report/Form (Notification of Securities and Exchange Commission)
Report on Changes to the Securities and Derivatives Holding of Director, Executive, Auditor, Plan Preparer and Plan Administrator (Form 59)
Tor 60 01/10/2018 Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party In use
 Circular 28/2561
 Notification of the Office of the Securities and Exchange Commission 4/2561
 Report/Form (Notification of Securities and Exchange Commission)
 Notification of the Office of the Securities and Exchange Commission 51/2561
Tor 62 05/10/2018 Re: Offer for Sale of Bonds Denominated in Foreign Currency in the Kingdom of Thailand In use
Tor 63 05/10/2018 Re: Rules for Approval of Foreign Company to Offer for Sale of Newly Issued Debt Securities in Thai Baht In use