SEC :: Securities and Exchange Commission

Ministerial Regulation

Bookmark

Ministerial Regulation (Revised version)

No.	Title
2	Financial Institution Eligible to Apply for Securities Business License B.E. 2536 (amended by No. 16 No. 18) (Repealed)
5	Application for Additional Securities Business LicenseB.E. 2539(amended by No. 13 No. 17) (Repealed)
7	Application for Approval on Establishment of Company to Undertake Securities Finance Business B.E. 2539 (amended by No. 20)
8	Application for License to Undertake Mutual Fund Management for Foreign InvestorsB.E. 2539
9	Application for License to Undertake Securities Borrowing and Lending Business B.E. 2543 (amended by No. 21) (Repealed)
10	Establishment of Securities Company to Undertake Business of Securities Brokerage, Securities Dealing, Investment Advisor and Securities Underwriting B.E. 2541
11	Application for License to Undertake Securities Business for Company Established as a Result of Merger or AcquisitionB.E. 2541
15	Application for License to Undertake Business of Private Fund ManagementB.E. 2543(repealed No. 6 No. 14 and amended by No. 23) (Repealed)
Concerning Approval on Undertaking of Securities Business in the Category of Mutual Fund Management B.E. 2545(Repealed)
Concerning Approval on Undertaking of Securities Business in the Category of Investment Advisory Service B.E. 2545(Repealed)
Concerning Approval on Undertaking of Securities Business in the Category of Inter - dealer Brokerage B.E. 2545
Concerning Approval on Undertaking of Securities Business in the Category of Venture Capital Manangement B.E. 2545(Repealed)
Concerning Approval on Undertaking of Securities Business in the Category of Brokerage, Dealing or Underwriting of Investment Units B.E. 2547(Repealed)
Concerning Granting of Approval for Undertaking Securities Business List of the Fees for Securities Business Licenses

Legal Department Tel. 0-2695-9999
Kannika / Aramsri ext. 9525, 6025
(Securities Issuance / Takeover) Pajaree ext. 6023
(Derivatives) Sunisa / Sujarus ext. 9517, 6021
E-mail : legal@sec.or.th

Last Updated 18 Mar 2009
Last Reviewed 18 Mar 2009