SEC Thailand within 45 days after the last day of each calendar year. The CIS operator or local intermediary shall report the result of the sale to the SEC office within 45 days after the last day of
accordance with the second paragraph shall be completed within three months from the end of each accounting period. For each financial year, such preparation shall be completed within twenty-one days from the
handling officer according to the said notification within fifteen days from the date on which the claimant files the complaint; 2. the claimant’s complaint is not resolved within forty five days from the
Republic of China and Thailand (HK-TH MRF) This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the SEC Thailand within 45 days after
characteristics as specified in Section 103, the Office shall have the power to withdraw its approval and the securities company shall propose other persons for the approval from the Office within fifteen days from
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
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
securities company shall procure a source for borrowing securities in order to enable delivery of securities in the short sale items within the time period prescribed by the clearing house under the law on
Office within fifteen days from the date on which the Bank of Thailand issues such letter and it shall be deemed that the Office has approved such auditor on the date of the Bank of Thailand’s letter
within five business days as from the dissolution date of the mutual fund; (2) deliver to the liquidator financial statements, as of the dissolution date of the mutual fund, which are audited and given