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Law and Regulations
From : Home > Law and Regulations > Introduction
Law and Regulations
Act & Royal Enactment
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Introduction

When the SEC was established in 1992, there was only the Securities and Exchange Act B.E. 2535 (1992) (SEA) that governed the Thai capital market. Over the past 20 years of development, the SEA along with rules and regulations have been revised to keep pace with the country’s changing economic and social environment as well as international standards. Presently, there are five laws, i.e., the SEA, the Derivatives Act B.E. 2546 (2003), the Provident Fund Act B.E. 2530 (1987), the Trust for Transactions in Capital Market Act B.E. 2550 (2007), and the Royal Enactment on Special Purpose Juristic Persons for Securitisa​tion B.E. 2540 (1997), that entrusted with the SEC’s increasing roles and responsibilities. Each law empowers the regulatory issuance, for instance, the Finance Minister to issue ministerial regulations, e.g., to prescribe rules concerning application and approval of securities business licensing, and the issuance of notification of the ministry of finance, e.g., to prescribe additional types of securities businesses. In addition, they are empowered the SEC, the Capital Market Supervisory Board, and the SEC Office to issue regulations in details. Thus, for enforcement, the SEC shall consider all applicable laws and notifications.

 

Notification Abbreviations  Before January 1, 2012

 

First abbreviation r​epresents​ the issuer
Kor.
Notification of the SEC
Tor.
Notification of the Capital Market Supervisory Board
Sor.
Notification of the SEC Office
Nor.
Notification of the SEC Office that explains about regulatory policies
Or.
Notification of the SEC Office that prescribes about other rules
 
Next abbreviation represents the responsible department
Dor.
Market Supervision Department
Nor.
Investment Management Supervision Department
Thor.
Broker-Dealer Supervision Department
Chor.
Accounting Supervision Department
Chor.
Corporate Finance Department
Khor.
Licensing Department
Kor.
Corporate Governance Department
 
Effective from January 1, 2012
  
 
1. First abbreviation letters represent the issuer
     1.1  Notification of the SEC.
Kor
     1.2  Notification of the Capital Market Supervisory Board
Tor
     1.3  Notification of the SEC Office
Sor
2. Next abbreviation represents the topic
     group 1 one abbreviation letter
 
          2.1  notifications governing supervision of "business" under the Securities and Exchange Act (excluded mutual fund and private fund, directors, executives, auditors) and the Derivatives Act (excluded derivatives fund management) and also organizations related to securities business such as clearing house, securities depository center, securities registrar, and related associations
Thor
          2.2  notifications under the Trust Act
Ror
          2.3  notifications governing "establishment and management of mutual fund, private fund, asset management company, derivatives fund managers
Nor
          2.4  notifications governing “securities issuance and issuer's duty” 
Jor
          2.5  notifications governing "takeover"
Kor
          2.6  notifications governing "professional approval" such as auditor, FA, appraisal, CRA, BPA, FRA, bond holder representatives
Chor
         2.7  notifications governing "provident fund registrar"
Tor
          2.8  notifications governing "enforcement, litigation"
Khor
          2.9  notifications governing "fee"
Mor
         2.10  other notifications
Aor
      group 2 two abbreviation letters
 
​        2.11  notifications governing "personnel" such as marketing, investment consultants, directors, executives
​                  2.11.1  securities issuer's personnel LorJor
​                  2.11.2  securities, derivatives business operator's personnel LorThor
         2.12   guidelines
NorPor
Last updated on 17 August 2015
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