| Requirement to submit a proposal and seek approval from the SC to issue stocks | Authorization / permit requirements | Security Exchange commission | Decree on Structure and Operation of Lao Securities Commission No. 188/PM, dated 24 July 2013 | 31-12-9999 |
| Requirements for approval of auditors of audit company include membership of association | Requirement to subscribe to association | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
| Requirements for conditions for incorporation of 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 |
| Requirements for conditions to incorporate securities company include registered capital | Minimum capital requirements | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
| Requirements for establishing public fund include having licensed fund managers | 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 for foreign investors wishing to trade securities | Performance requirements (mandatory) | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
| Requirements for issuance of corporate bonds to the public | Licensing (based on experience, track record, technical requirements, and/or other) | Security Exchange commission | Regulation on issuance of corporate bond No. 019/LSC, dated 22 December 2014 | 31-12-9999 |
| Requirements for location of data recovery site | Administrative Requirements | Security Exchange commission | Notification Subject: Establishment, development and application of an information technology system in securities companies No. 371/SECO, dated 24 February 2012 | 31-12-9999 |
| Requirements for securities business professional license | 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 for specific form to establish of a securities company by a foreign securities company | Form of establishment | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
| Requirements for the conditions for commercial bank to act as custodian bank | 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 be met by issuer wishing to list its securities on the securities exchange | Minimum capital requirements | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
| Requirements to be met to establish public funds include having a license | Form of establishment | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
| Requirements to be met to establish public funds include having a license | 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 incorporate an asset management company | Form of establishment | Security Exchange commission | Law on Securities No. 21/NA, dated 10 December 2012 | 31-12-9999 |
| Requirent for changes to information technology system of securities companies to be first approved | Performance requirements (mandatory) | Security Exchange commission | Notification Subject: Establishment, development and application of an information technology system in securities companies No. 371/SECO, dated 24 February 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 |
| Requirements to be the selling agent | Licensing (based on qualifications / education) | Ministry of Finance | Instruction of the Minister of Finance on Management of Lottery Business No. 1332, dated 17 June 2009 | 31-12-9999 |
| The Lottery business operation approval authority | Monopoly / exclusive service suppliers | Ministry of Finance | Instruction of the Minister of Finance on Management of Lottery Business No. 1332, dated 17 June 2009 | 31-12-9999 |
