Form of establishment of securities exchange | Form of establishment | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
Incorporation and operation requirements for approval of audit company | Licensing (based on experience, track record, technical requirements, and/or other) | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
Minimum registered capital requirement for selling agents | Minimum capital requirements | Ministry of Finance | Instruction of the Minister of Finance on Management of Lottery Business No. 1332, dated 17 June 2009 | 31-12-9999 |
Licensing requirements to incorporate an asset management company | Licensing (based on experience, track record, technical requirements, and/or other) | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
Membership of association requirement for approving Audit Company | Requirement to subscribe to association | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
Minimum Capital Requirement for approval of Audit Company | Minimum capital requirements | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
Procedure for temporary and permanent license | Administrative Requirements | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
Prohibition on activities conducted by issuers and listed companies | Prohibition | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
Prohibitions for Asset Management Companies and Fund Managers | Prohibition | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
Prohibitions for Securities Companies and Securities Professionals | Prohibition | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
Registration fee required | Fee | Bank of the Lao PDR | Regulation For Non-Deposit Taking Microfinance Institutions No. 02/BoL, dated 20 June 2008 | 31-12-9999 |
Requirement for urgent information disclosure | Administrative Requirements | Security Exchange commission | Decision on information disclosure No. 014/SEC, dated 19 May 2011 | 31-12-9999 |
Requirement for a license to establish a securities exchange | Licensing (based on experience, track record, technical requirements, and/or other) | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
Requirement for approval for mergers of public funds | Authorization / permit requirements | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
Requirement for approval to change nature of securities business operation | Authorization / permit requirements | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
Requirement for capital adequacy ratio | Administrative Requirements | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
Requirement for change in legal status if entity exceeds prescribed revenue | Numerical restrictions (operation / output) | Bank of the Lao PDR | Regulation For Non-Deposit Taking Microfinance Institutions No. 02/BoL, dated 20 June 2008 | 31-12-9999 |
Requirement for commercial banks to keep accounting records | Performance requirements (mandatory) | Security Exchange commission | Instruction on accounting of commercial banks and Financial institutions relating to securities transaction No. 207/AFD, dated 15 December 2010 | 31-12-9999 |
Requirement for company providing credit rating services relating to securities activities to be licensed | Licensing (based on experience, track record, technical requirements, and/or other) | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
Requirements to issue shares | Administrative Requirements | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |