Saturday, 23 November 2024

Obligations after Incorporating a Securities Company



  • 1. Accounting
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  •   - Law on Securities No. 21 /NA, dated 10 December 2012 ( article 70 );
  •   - Regulation on Accounting and Auditing on Securities activities No. 001/LSC, dated 07 April 2015.

  • 2. Reporting
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  •   - Law on Securities No. 21 /NA, dated 10 December 2012 ( article 123 and 125 );
  •   - Regulation on Reporting No. 373/SECO, dated 24 February 2012 ( part III ).

  • 3. Disclosure of Information
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  •   - Law on Securities No. 21/NA, dated 10 December 2012 ( article 124 );
  •   - Decision on Regulation on Disclosure of Information No. 014 /SEC, dated 19 May 2011 ( part III ).

  • 4. Maintenance of Information
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  •   - Law on Securities No. 21/NA, dated 10 December 2012 ( article 126 ).

  • 5. Net Capital Ratio maintaining
  •   - Regulation on Net Capital Ratio of Securities Company No. 003/LSC, dated 18 February 2014;
  •   - Circular Letter on Implementing on Regulation on Net Capital Ratio of Securities Company No. 281/LSCO, dated 06 March 2014 and Other required reports as stipulated by Lao Securities Commission Office (LSCO) in each period.

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