Memorandum of Understanding (MOU) between the SEC and ThaiBMA regarding Bond Market Supervisory Cooperation
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| Memorandum of Understanding (MOU) between the SEC and ThaiBMA regarding Bond Market Supervisory Cooperation |
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Rules, Regulations and Notifications
The Thai Bond Market Association is an association dealing with security business. The Association was founded by virtue of the provisions of The Securities and Exchange Act B.E. 2535 ( A.D.1992) and Supervised by the Office of the Securities and Exchange Commission.
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Regulations of The Thai Bond Market Association
The English translation was prepared by ThaiBMA, for the purpose of reference only.
For legal force, please refer to the original Thai version.
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| Regulation of The Thai Bond Market Association Amended (No. 2) B.E. 2006 |
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| Regulation of The Thai Bond Market Association Amended (No. 3) B.E. 2007 |
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| Regulation of The Thai Bond Market Association Amended (No. 4) B.E. 2008 |
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| Regulation of The Thai Bond Market Association Amended (No. 5) B.E. 2009 |
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| Part | Subject | Download |
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| 1 | General Provisions |
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| 2 | Objectives |
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| 3 | Members and Membership |
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| 4 | Rights and Obligations of Members |
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| 5 | Board of Directors of the Association |
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| 6 | Ethics of Conducing Business |
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| 7 | Disciplines and Punishment of The Members |
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| 8 | General Meeting |
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| 9 | Termination of Membership |
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| 10 | Finance and Accounting of the Association |
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| 11 | Membership Admission Fee, Annual Fee,Information Registration Fee and Other Service Fee |
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| 12 | Modification, Dissolution and Liquidation of the Account of the Association |
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| 13 | Material and Service Procurement |
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| 14 | Transitory Provision |
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Notification of the Board of Directors of the Thai Bond Market Association
| Part | Subject | Issue Date | Download |
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| 1 | Member | ||
| 1.1 | Representative of the Member | 10/11/2005 |
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| 1.2 | Transfer of Rights of Membership | 10/11/2005 |
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| 1.3 | Arbitration Proceeding | 10/11/2005 |
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| 1.4 | Relaxation of Member Annual Fee Payment | 14/02/2007 |
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| 2 | Trading, Reporting and Maintaining Trading Records | ||
| 2.1 | Preparing and maintaining trading records | 10/11/2005 |
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| 2.2 | Standard of Practices for the Bond Market | 10/11/2005 |
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| 2.3 | Rules on Examination of Documents and Trading Accounts of Members | 02/10/2006 |
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| 2.4 | Improper Practices of Member | 05/02/2008 |
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| 2.5 | Terms, Conditions and Procedure concerning Reporting of Debt Instrument Trading | 09/01/2008 |
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| - | 03/10/2017 |
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| 2.6 | Clarification regarding Reporting of B/E transaction | 23/11/2009 |
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| 2.7 | Rules on Examination of Documents and Trading Accounts of Members (No.2) B.E. 2011 | 30/03/2011 |
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| 3 | ??????????????????????????? | ||
| 3.1 | Rules and Procedure in Continuing Professional Education (CPE) of Registered Trader | 13/03/2012 |
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| 3.2 | Registered Trader (Codified) | 13/03/2012 |
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| 3.3 | Registered Trader (No. 2) | 08/10/2013 |
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| Part | Subject | Issue Date | Download |
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| 4 | Registered Debt Instrument | ||
| 4.1 | Exemption of Debt Instrument Information Registration Fee B.E. 2006 | 19/06/2006 |
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| 4.2 | Registration of Debt Instrument Information (Codified) | 21/03/2015 |
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| 4.3 | Fee for Registration of Debt Instrument Information | 21/03/2015 |
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| 4.4 | Standard Regulations on Registration Work of Registered Debt Instrument (Codified) | 10/11/2010 |
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| 4.5 | Rules on Registration of Short-Term Debt Instrument 18-Sep-12 | 21/09/2013 |
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| 4.6 | Standard Regulations on Registration Work of Registered Debt Instrument (No.3) 8-Oct-13 | 15/06/2013 |
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| 4.7 | ?????????????????????????????????????????????????????????????????????????? | 26/03/2010 |
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| 5 | Member Compliance | ||
| 5.1 | Practices of Compliance Officer 12-Mar-08 | 12/03/2008 |
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| 5.2 | Administrative Sanctions concerning Reporting of Debt Instrument Trading | 21/01/2014 |
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| 5.3 | Appointment of On-Site Examiners | 12/12/2018 |
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| 5.4 | ?????????????????????????????????????????????? (Small lot) | 04/02/2014 |
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| 6 | Service for Bond Information | ||
| 6.1 | Service for Mark to Market information 23-Jul-10 | 23/07/2010 |
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| 6.2 | Service fee for Mark to Market information 23-Jul-10 | 23/07/2010 |
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| 6.3 | ????????????????????????????????? | 23/07/2010 |
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| 6.4 | ????????????????????????????? (Mark to market) ????????????????????? | 01/10/2010 |
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ThaiBMA's Code of conduct
| No | Subject | Download |
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| 1 | Code of conduct of the Thai Bond Market Association For Members Submitting Quoted bid-offer yield for the Calculation of Reference Yields |
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Member Alerts
| Topic | Subject | Download |
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| 1 | Supervision on Reporting of Debt Instrument Trading |
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| 2 | Dissemination and Publication of Clients' Confidential Information |
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