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
exempt from preparing and filing reports for all categories, except report of clients’ assets as prescribed in Clause 3(3), commencing from the month in which the business operation ceases. Such exemption
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
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
the Securities and Exchange Commission. Clause 3 . The securities company shall prepare and file the reports with the Office using the forms and within the schedules as follows: (1) Report on the
Commission Notification of the Securities and Exchange Commission No. SorThor. 23/2549 Re: Calculation and Report of Net Liquid Capital Calculation _____________ By virtue of Section 109 of the Securities and
Commission Re: Rules and Schedules for Report Filing of Securities Companies dated 18 May 1992, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this
Exchange ; (6) the Notification of the Capital Market Supervisory Board concerning the Offer for Sale of Foreign Bonds in the Kingdom of Thailand. Clause 3 An offeror shall report the results of selling
procedures; “ derivatives business operator reporting system ” means an electronic data interchange provided by the SEC Office for filing reports with the SEC Office. Clause 2 A derivatives business operator
Notification: “Yearly report” means the yearly report under the Notification of the Association of Investment Management Companies governing rules and procedures for preparation of the reports on the management