. (2) Any securities company, which ceases to undertake any particular category of its business or ceases any particular transaction which requires reporting, and when the Office has received notice in

1 shall prepare and file such reports even though there is none of any transaction during such period. Clause 4 Business operators shall file reports in Clause 3. with the SEC Office in the electronic

Office of the Securities and Exchange Commission No. KorThor. 65/2547 Re: Rules for the Undertaking of Derivatives Business for Licensed Derivatives Broker dated 22 December 2004, the Office of the

the periods of time as specified in the following subclauses: (1) in case of transaction in respect of trading shares, the confirmation statement shall be sent out within the following business day of

Clause 12, Clause 15 and Clause 26 of the Notification of the Capital Market Supervisory Board No. TorThor. 80/2552 Re: Rules on Undertaking of Derivatives Business for Licensed Derivatives Brokers dated 3

the following business day of the transaction date; (2) in case of transaction in respect of trading derivatives, the confirmation statement shall be sent out within the following business day of the

with the derivatives clearing house for a derivatives transaction. 7. Securities business receivables and Derivatives business receivables means net balance account of securities business receivables and

ทรัพย์ และสัญญาซื้อขายล่วงหน้า Report on the changes via Form 59 must be submitted within three business days after the transaction date of purchase, sale, transfer or acceptance of transfer of securities

allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for