Conduct Fees Related Circular Letter Securities Brokerage Business Business Operation Rules Securities Underwriter Business Business Operation Rules Securities Dealer Business Business Operation Rules
Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking
Printable Format - Laws and Regulations Guideline on the commencement for operation of securities / derivatives business
Work System, Contact with Investors and General Business Operation of Trustees
Rules, Conditions and Procedures for Controlling Operation of Securities Underwriting (No. 3)
Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and Central Securities Depositories
Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party
regulation of audit inspection – has accepted the SEC to be its member. The SEC is also a member of ASEAN Audit Regulator (AARG) established under the co-operation of its members, i.e., Singapore, Malaysia
provided in item 3.3.3(1) above, as long as the discretion is exercised in furtherance of the objective to facilitate the continuous mobility of the existing Recognised Representative. 3.3.4 Procedure for
Deputy Secretary-General Tipsuda Thavaramara said: ?Making an electronic transaction and applying FinTech to business operation are still a challenge in Thailand mostly because the governing laws are