shall report the appointment or the termination of appointment of representatives to the Office as per the forms and procedures as provided via the electronic system of the Office within the seventh
file this report with the Office on a monthly basis through Form Bor.Lor. 5/1 as attached to this Notification by the seventh day of the following month. (3) Report on clients’ assets: Any securities
’ assets on a monthly basis and file it with the SEC Office within the seventh day of the following month. In this regard, business operators which have the duty to prepare and file the reports in Paragraph
report of net liquid capital calculation of the last business day of the month to the SEC Office by the seventh day of the following month; (3) in case where a securities company have any subordinated
at the end of each month to the client within the seventh day of the following month, except there is no transaction which affects the movement or change of the assets under custody of the securities
maintenance of capital from January to June of each year, the report shall be filed within 7th July of such year; (2) in case of maintenance of capital from July to December of each year, the report shall be
Proprietary Trading of Securities and Derivatives for Derivative Brokers. Notified this 7th day of April 2015. (Mr. Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission
31 January of the following year. Clause 20 This Notification shall come into force as from 1 January 2017. Notified this 7th Day of November 2016. -Signature- (Mr. Voravidh Champeeratana) Chairman
. The connected persons of the employees under the first paragraph shall be in accordance with the Notification of the Associations approved by the SEC Office. Notified this 7th day of April 2015
use. **Published in the Government Gazette, Volume 104 (Special Issue), Part 254, dated 7th December B.E. 2530, and became effective on 8th December B.E. 2530. 3 indicated amendment by the Provident