specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
electronic procedures. “securities company reporting system” means the electronic data interchange provided by the Office for filing reports of securities company to the Office. “Office” means the Office of
operator reporting system ” means an electronic data interchange provided by the SEC Office for filing reports to the SEC Office. Clause 3 A business operator shall prepare and file reports of financial
regulations. Clause 1 The SEC Office shall require securities companies to submit reports or document, and determine periods of submission for the following issues. (1) Report of Financial Status and Operating
ownership (for example, land, building, factory and machinery), and the characteristics of ownership (if applicable). The presentation of the total amount may be asset category-based, not item-or company
submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the
use for business undertaking with or without ownership. (For example, land, building, factory and machinery. The presentation of the total amount of such assets may be asset category-based, not item-or
price compensation report by the business day following the date on which the unit price is found incorrect, and submit such reports to the fund supervisor by the business day following the date on which
virtue of law, and Clause 1 of the Notification of the Capital Market Supervisory Board No. TorThor. 59/2552 Re. Criteria and Schedule to Submit Reports of Securities Companies dated 3 August 2009, the
issuance of improper auditor’s reports, as well as countermeasures for mitigating such risks. 4.1 Inspection results on the quality control system by the Audit Firm (internal monitoring) (1) Name of