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Procedure

Procedure Name
Procedures for applying to become the securities professionals

Description
Procedures for applying to become the securities professionals

Individuals who wish to become securities professionals must be employed by Securities Company and application form and necessaries documents must be submitted by their employer on their behalf to Lao Securities Commission to consider. The result will be announced within 10 working day and if the application does not successful it will be notified in written.



*This procedure was drafted by LSP development team for your usage please refer to our terms and conditions

The following form/s are used in this procedure Title
TitleDescriptionCreate DateUpdate DateIssued ByFile Download
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This procedure applies to the following measures
Showing 1 - 2 of 2 items
NameMeasure TypeAgencyDescriptionCommentsLegal DocumentValidity
Prohibitions for Securities Companies and Securities ProfessionalsProhibitionSecurity Exchange commissionSecurities companies and securities professionals are prohibited from conducting activities, including creating, developing and providing securities products to the public without approval from the SC-Law on Securities No. 21/NA, dated 10 December 201231-12-9999
Requirements for securities business professional licenseLicensing (based on experience, track record, technical requirements, and/or other)Security Exchange commissionSecurities business professional licenses are issued if prescribed conditions are met-Law on Securities No. 21/NA, dated 10 December 201231-12-9999