and Exchange Commission Re: Rules and Timeframe for the Submission of Reports of Securities Companies dated 18 May 1992, the Office of the Securities and Exchange Commission hereby issues the following
Exchange Act B.E. 2535 (1992) and Clause 1(3) of the Notification of the Securities and Exchange Commission Re: Rules and Timeframe for the Submission of Reports of Securities Companies dated 18 May 1992
-date information in order to verify the client’s assets information reports between the custodian and the securities company. Clause 15. A securities company shall deliver a report of the client’s assets
verify the client’s assets information reports between the custodian and the securities company. Clause 15.3 A securities company shall deliver a report of the client’s assets at the end of each month to
retrieved and inspected by the SEC Office. The securities company shall maintain reports or articles on securities investment analysis for at least two years from the publication date in such a manner that
that can be promptly retrieved and inspected by the SEC Office. The securities company shall maintain reports or articles on securities investment analysis for at least two years from the publication
person. Clause 12. The derivatives broker shall provide documentation evidencing derivatives trading and ensure that complete documentation is maintained and updated, and shall keep reports or articles on
maintained and updated, and shall keep reports or articles on the analysis of the value or suitability in trading derivatives and the underlying products in relation to any variables in derivatives in