SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism 01
Effective Date 1. Act Securities and Exchange Act 2535 230 12/03/1992 16/05/1992 2. Notification of the Securities and Exchange Commission Rules and Procedures for Applying for License and Registration
Operators 31/07/2019 2. Notification of Capital Market Supervisory Board TorThorNorKhor. 7/2553 Rules Conditions and Procedures for Being Director or Executive of Other Securities Companies 01/02
Market Supervisory Board Tor Thor. 60/2561 Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party 01/10/2018 16/11/2018 Notification of the Office
Effective Date 1. Notification of the Securities and Exchange Commission Rules and Procedures for Applying for License and Registration of Association related to Securities Business 03/08/1992 2