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.
|Name||Measure Type||Agency||Description||Comments||Legal Document||Validity|
|Prohibitions for Securities Companies and Securities Professionals||Prohibition||Security Exchange commission||Securities 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 2012||31-12-9999|
|Requirements for securities business professional license||Licensing (based on experience, track record, technical requirements, and/or other)||Security Exchange commission||Securities business professional licenses are issued if prescribed conditions are met||-||Law on Securities No. 21/NA, dated 10 December 2012||31-12-9999|