​​​​​​​​​​​​Intermediaries​

Related Rules and Regulations

• The Notification of the Capital Market Supervisory Board No. TorThor. 60/2561 Re: Rules, Conditions, and Procedure for Outsourcing Functions Related to Business Operation to Third Party

• The Notification of the Office of the Securities and Exchange Commission No. SorThor. 51/2561 Re: Outsourcing Function related to Business Operation to Third Party

• The Notification of the Capital Market Supervisory Board No. TorThor. 1/2561 Re: Rules, Conditions, Procedures for Appointment of Agents to Facilitate Passing on of Orders for Trading of Securities or Derivatives

• The Notification of the Office of the Securities and Exchange Commission No. SorThor. 1/2561 Re: Rules in Details Regarding the Services with Specific Features Provided by Securities and Derivatives Business Operators (No.3)

• The Notification of the Office of the Securities and Exchange Commission No. SorThor. 2/2561 Re: Permission to Appointment of Agents in Facilitating Services of Passing Orders for Trading of Securities and Derivatives

• The Notification of the Securities and Exchange Commission No. KorThor 25/2560 Re:  Specification of Paid-up Registered Capital of Securities Business License Applicant and Licensee

• The Notification of the Securities and Exchange Commission No. KorThor. 26/2560 Re : Determination of  Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business
  
  

​​ ​A Gathering of all Intermediaries Regulations

Regulated Entities

​о Rules and Regulations / Licensing / Registration

   • Brokerage

     ​​ о Securities Brokerage

      ​о Derivatives Agent

      ​о ​​Guidelineon the commencement for operation of securities / derivatives business​​

   ​• Dealer

      ​​о Securities Dealer

      о Derivatives Dealer

   • Advisor

     ​ о Securities Investment Advisors

     ​ о Derivatives Advisors

   ​• Securities Underwriter

   • Limited BDU

   • Bond Dealer & Underwriter

   • Securities Borrowing & Lending

   • Thailand Securities Finance Corporation : TSFC

​

Approved Personnel

о Major Shareholders

   • SEC Act

   • Derivative Act

о Executives

   • SEC Act

  ​ • Derivative Act

​о Investment Analysts / Consultants

   ​• ASEAN Investment Analyst / ASEAN Investment Consultant 

          ​- Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework

          ​- Summary of ACMF Pass

         ​ - Related regulations 

         ​ - Qualifications of the Applicant for Approval as ASEAN Investment Analyst​