EN | TH Memorandum of Understanding (MOU) between the SEC and ThaiBMA regarding Bond Market Supervisory Cooperation Subject Download Memorandum of Understanding (MOU) between the SEC and ThaiBMA regarding Bond Market Supervisory Cooperation 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. Subject Issue Date Download 1. Regulations of The Thai Bond Market Association (Codified version) * The English translation was prepared by ThaiBMA, for the purpose of reference only. For legal force, please refer to the original Thai version. 21/09/2005 2. Regulations of The Thai Bond Market Association B.E. 2548 21/09/2005 3. Regulation of The Thai Bond Market Association Amended (No. 2) B.E. 2549 09/02/2006 4. Regulation of The Thai Bond Market Association Amended (No. 3) B.E. 2553 10/05/2010 5. Regulation of The Thai Bond Market Association Amended (No. 4) B.E. 2554 23/05/2011 6. Regulation of The Thai Bond Market Association Amended (No. 5) B.E. 2555 24/04/2012 7. Regulation of The Thai Bond Market Association Amended (No. 6) B.E. 2559 27/04/2016 8. Regulation of The Thai Bond Market Association Amended (No. 7) B.E. 2560 04/05/2017 9. Regulation of The Thai Bond Market Association Amended (No. 8) B.E. 2563 18/05/2020 Part Subject Download 1 General Provisions 2 Objectives 3 Members and Membership 4 Rights and Obligations of Members 5 Board of Directors of the Association 6 Ethics of Conducing Business 7 Disciplines and Sanction of the Member 8 General Meeting 9 Termination of Membership 10 Finance and Accounting of the Association 11 Membership Admission Fee, Annual Fee,Information Registration Fee and Other Service Fee 12 Modification, Dissolution and Liquidation of the Account of the Association 13 Material and Service Procurement 14 Transitory Provision Notification of the Board of Directors of the Thai Bond Market Association Search Part Subject Group Issue Date Download 1 Member 1.1 Representative of the Member Member 10/11/2005 1.2 Arbitration Proceeding Member 10/11/2005 1.3 Transfer of Rights of Membership Member 10/11/2005 1.4 Relaxation of Member Annual Fee Payment Member 14/02/2007 2 Trading of Debt Instrument 2.1 Standard of Practices for the Bond Market • (No. 2) B.E. 2563 | Issue Date 13/02/2020 | Trading Records 10/11/2005 2.2 Preparing and Maintaining Trading Records • (No. 2) B.E. 2563| Issue Date 13/02/2020 | Trading Records 10/11/2005 2.3 Rules on Examination of Documents and Trading Accounts of Members • (No. 2) B.E. 2554| Issue Date 30/03/2011 | Trading Records 02/10/2006 2.4 Improper Practices of Members Trading Records 05/02/2008 2.5 Terms, Conditions and Procedure concerning Reporting of Debt Instrument Trading Transaction Trading Records 01/09/2022 2.6 (Attachment) Bond trading purpose and Counterparties abbreviate name Trading Records 23/08/2024 2.7 Determining the Purchase and Sale of Small Lot Trading Transaction Trading Records - 3 Registered Trader 3.1 Registered Trader B.E.2563 (2020) (Codified) • (No. 1) B.E. 2563| Issue Date 13/02/2020 | • (No. 2) B.E. 2564| Issue Date 17/06/2021 | • (No. 3) B.E. 2566| Issue Date 19/10/2023 | Registered Trader 13/02/2020 3.2 Rules and Procedure in Continuing Professional Education (CPE) of Registered Trader Registered Trader 13/03/2012 4 Compliance and Enforcement of Rules & Regulations 4.1 Practices of Compliance Officer (Codified) • (No. 1) | Issue Date 12/03/2008 | • (No. 2) B.E. 2565| Issue Date 01/09/2022 | Member Compliance 12/03/2008 4.2 Administrative Sanctions concerning Reporting of Debt Instrument Trading Member Compliance 21/01/2014 4.3 Appointment of Examiners Member Compliance 17/01/2024 5 Registration of Debt Instrument 5.1 Registration of Debt Instrument Information (Codified) • (No. 1) B.E. 2551| Issue Date 05/02/2008 | • (No. 2) B.E. 2555| Issue Date 13/03/2012 | • (No. 3) B.E. 2558| Issue Date 21/04/2015 | • (No. 4) B.E. 2561| Issue Date 21/06/2018 | • (No. 5) B.E. 2563| Issue Date 16/07/2020 | • (No. 6) B.E. 2565| Issue Date 15/09/2022 | Registration of Debt Instrument 05/02/2008 5.2 Standard Regulations on Registration Work of Registered Debt Instrument (Codified) • (No. 1) B.E. 2553| Issue Date 10/11/2010 | • (No. 2) B.E. 2554| Issue Date 14/10/2011 | • (No. 3) B.E. 2556| Issue Date 08/10/2013 | • (No. 4) B.E. 2560| Issue Date 15/06/2017 | • (No. 5) B.E. 2564| Issue Date 20/05/2021 | • (No. 6) B.E. 2566| Issue Date 15/09/2022 | Registration of Debt Instrument 10/11/2010 5.3 Fee for Registration of Debt Instrument Information (Codified) • (No. 1) B.E. 2555| Issue Date 03/07/2012 | • (No. 2) B.E. 2558| Issue Date 21/03/2015 | Registration of Debt Instrument 03/07/2012 5.4 Revocation of the Rules on Registration of Short-term Debt Instrument Registration of Debt Instrument 15/09/2022 5.5 Rules on Registration of Debt Instrument Information in case of Necessity or Force Majeure Event Causing the Inability to Register Debt Instrument via the Electronic System Registration of Debt Instrument 02/12/2022 5.6 Notification of the Thai Bond Market Association Re: Rules and Conditions for Posting Event Signs on Debt Instrument Registration of Debt Instrument 17/08/2023 6 Service for Bond Information 6.1 Service Fees for Information from the Intelligent Bond Solution Service for Bond Information 14/07/2010 6.2 Service Fees for Mark-to-Market Information by Type of Service User Service for Bond Information 01/10/2010 6.3 Rules of the Thai Bond Market Association Re: Service Fees for Mark-to-Market Service for Bond Information 23/07/2010 6.4 Notification of the Thai Bond Market Association Re: Mark-to-Market Services Service for Bond Information 02/12/2022 Repealed Rules and Regulations No Subject วันที่ประกาศ Download 1 Rules on Registration of Short-term Debt Instrument (cancel) 21/09/2017 2 Notification of the Thai Bond Market Association Re: Determining of the Necessity and Force Majeure Event of the Registration of Short-term Debt Instrument (cancel) 26/03/2014 3 Exemption of Fee for Registration of Debt Instrument Information under Regulatory Sandbox (cancel) 13/12/2019 4 Exemption of Fee for Registration of Debt Instrument Information under Regulatory Sandbox (No. 2) (cancel) 7/05/2020 5 Exemption of Fee for Registration of Debt Instrument Information for Short-term Debt Instrument Invested by Corporate Bond Stabilization Fund (cancel) 7/05/2020 6 Exemption of Application Fee for Registration of Debt Instrument Information (cancel) 7/05/2020 7 Determining Fee for Registration of Debt Instrument Information for Green, Social, Sustainability Bond & Sustainability-linked Bond (cancel) 14/02/2019 8 Determining Fee for Registration of Debt Instrument Information for Green, Social, Sustainability Bond & Sustainability-linked Bond (No. 2) (cancel) 26/03/2020 9 Determining Fee for Registration of Debt Instrument Information for Green, Social, Sustainability Bond & Sustainability-linked Bond (No. 3) (cancel) 26/05/2021 10 Exemption of Application Fee for Registration of Debt Instrument Information due to COVID-19 (cancel) 15/01/2021 11 Extension of Registered Trader Refresher Course for Renewal a Registered Trader due to COVID-19 Pandemic (cancel) 18/06/2020 ThaiBMA's Code of conduct No Subject Download 1 Code of conduct of the Thai Bond Market Association For Members Submitting Quoted bid-offer yield for the Calculation of Reference Yields Member Alerts Topic Subject Download 1 Supervision on Reporting of Debt Instrument Trading 2 Dissemination and Publication of Clients' Confidential Information