| - |- Guideline on the commencement for operation of securities / derivatives business | - |- Securities Brokerage (Section 113) | - |- Brokerage of capital market product denominated in foreign currency

Printable Format - Laws and Regulations Guideline on the commencement for operation of securities / derivatives business   

Following the earlier public hearing in late March, where the majority of business providers had expressed their approvals towards the guideline suggested by SEC. Therefore, SEC had then proposed a

Following the earlier public hearing in late March, most business providers had expressed their approvals towards the guideline suggested by SEC. Therefore, SEC had then proposed a draft regulation

Office has issued a Guideline for Operational Control and Security of the Information Technology of a Securities Company whereas this Guideline compose of mandatory[M] and accredit [A] and if the company

and Exchange Commission No. SorThor/Nor. 34/2547 Operational Control and Security of the Information Technology of Securities Company with the same level of standard. The Office has issued a Guideline

technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an

inspection of information technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In

Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service

นำส่งและซักซ้อมความเข้าใจเรื่องการแก้ไขประกาศเกี่ยวกับการลงทุนของกองทุน และการกำหนดแนวทางปฏิบัติ (guideline) ที่เกี่ยวข้อง