e-service Online Submission Derivatives Agent >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission KorThor. 65/2547 Rules
Operational Function relating to Business Operation to Third Party (Synopsis) 17/05/2013 16/06/2013 2. Notification of the Office of the Securities and Exchange Commission SorThor. 20/2549 Re: Rules for
/2011 2. Notification of Capital Market Supervisory Board TorThor 7/2551 Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices 02/04/2008 01/05
/Nor 12/2551 Rules for Establishment of Risk Management System for Business Continuity of Derivatives Business Operators 28/04/2008 01/10/2008 Contact The Securities and Exchange Commission
Determination of Definitions of Institutional and High Net Worth Investors 09/07/2012 01/08/2012 2. Notification of Capital Market Supervisory Board TorThor. 23/2553 Rules for Undertaking Derivatives Business
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 17/01/2018 01/04/2018
. Notification of the Securities and Exchange Commission Kor.Dor. 17/2539 Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar (Codefied