e-service Online Submission Business Operation Rules >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange Commission
(codified as of 08/10/2004) (Synopsis) 23/01/2004 06/01/2004 Notification of the Office of the Securities and Exchange Commission SorThor./Khor. 40/2547 Re: Form of Applications for Registration to be a
(Synopsis) 03/08/2009 01/09/2009 5. Notification of the Office of the Securities and Exchange Commission SorThor. 3/2553 Preparation and Maintenance of Information Relating to Derivatives Trading (Synopsis
/2552 Determination for Securities Companies to Proceed with Customer Complaints 03/08/2009 01/09/2009 2. Notification of the Office of the Securities and Exchange Commission SorThor. 32/2548 Customer
e-service Online Submission Derivatives Agent >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange Commission SorThor
) 16/01/2005 Notification of the Office of the Securities and Exchange Commission SorThor. 25/2550 Re: Prescription of the Rate or Value of Property Deposited as Margins 31/08/2007 16/09/2007
and Derivatives Trading for Derivatives Broker 02/04/2008 01/07/2008 2. Notification of the Office of the Securities and Exchange Commission SorThor 19/2552 Report on Trading of Securities
Securities and Exchange Commission Kor Thor. 4/2561 Maintenance of Capital of Investment Advisors and Derivatives Advisors 17/01/2018 01/04/2018 Notification of the Office of the Securities and
Personnel in the Capital Market Business 03/06/2014 01/07/2014 Notification of the Office of the Securities and Exchange Commission SorLorThor. 8/2557 The Approval of Personnel in the Capital Market