e-service Online Submission Securities Borrowing and Lending >> Type Title Section See document Status Notified Date Effective Date 1. Notification of Capital Market Supervisory Board TorThor/Nor
Operators 01/03/2006 7. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
16/05/1992 3. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
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Clause 14(2) of the SEC Office Notification No. SorKhor.49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated October 14, 2009 and Clause 20(2) of the Notification of Capital Market
the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated
://www.sec.or.th/EN/Documents/ActandRoyalEnactment/Act/act-sea1999-no2.pdf Notification of Capital Market Supervisory Board TorThor 47/2552 Sale of Securities by a Securities Company Which Does Not Have Possession
Clause 20(1) and (2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving
reference. 2 Notification of the Capital Market Supervisory Board No. TorThor. 84/2552 Re: Custody of Assets of Clients by Licensed Derivatives Brokers _____________ By virtue of Section 18, Section 33 and