daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
จำนวนและราคาหลักทรัพย์ ไว้ในวงเล็บ) In case of a same-day acquisition and disposition of securities and derivatives, the total amounts and the weighted average prices thereof shall be reported separately
trust business under the Trust for Transactions in Capital Market Act B.E. 2550 (2008). The Office hereby notifies the Capital Market Supervisory Board’s resolution accordingly. Notified this 1st day of
opening accounts or engaging in business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a
. Clause 3 This Notification shall come into force as from 16 July 2009. Notified on this 3rd day of July 2009. (Mr. Thirachai Phuvanatnaranubala) Secretary-General The Office of the Securities and Exchange
which keeps records of securities purchasing or selling transactions other than those recorded in a margin account ; (4) “ securities depository center ” means a securities depository center under the law
foreign exchange, the fee shall be calculated from the trading value deducted by the trading transactions of securities brokerage licensees who are not members of the Exchange or foreign exchange (sub
report with the Office on a monthly basis through Form Bor.Lor. 2 and Table Bor.Lor. 2/1 as attached to this Notification by the fourteenth day of the following month. (2) Report on margin accounts: Only
exchange, as the case may be. “ clearing house ” means a clearing house for transactions related to derivatives, or a clearing house for transactions related to securities, as the case may be. “ person with
and executing of customer’s derivatives trading order, containing at least the details of transactions executed by it for the customer from the time the order is taken until the transaction is completed