Skip Ribbon Commands
Skip to main content
The Securities and Exchange Commission

Intermediaries
Intermediaries
From : Home > Market Professionals > Intermediaries > Reporting Requirement
Intermediaries
Regulatory Principles / Objectives
Laws & Regulations
List of Business Operators
Search for related personnel
Online Filings / Form Download
Enforcement
Supervision and inspection of intermediaries
What's New
Asset Management
Reporting Requirement

Reporting Requirement

 
Weekly Reports
Weekly Report on the Purchase of High Turnover Securities by Individual Clients (SEC Circular  SEC. Thor. 1/2547)
To be filed within seven days of the following week.
Monthly Reports
Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1) (Notification No. SorThor. 55/2546)
To be filed within 14 days of the following month.
Monthly Report on Margin Loan to Clients (Form Bor.Lor. 5/1) (Notification No. SorThor. 55/2546)
To be filed within seven days of the following month.
Monthly Statement of Clients' Assets (Form Bor.Lor. 8) (Notification No. SorThor. 55/2546)
To be filed within seven days of the following month.
Monthly Report on Net Liquid Capital (Form Bor.Lor. 4/1) (Notification No. SorThor. 23/2549) (Notification No. SorThor. 24/2550)
- Explanation Form Bor.Lor. 4/1_1
- Explanation Form Bor.Lor. 4/1_2
To be filed within seven days of the following month, and within two working days from the date NC =< 1.5 times of minimum requirement
Quarterly Reports
Quarterly Complaint Handling Summary (Notification No. TorThor/Khor/Dor/Nor. 62/2552)
To be filed within 15 days after the end of the quarter.
Semi-Annual Reports
Audited Financial Statement (6 months) (Form Bor.Lor. 1 and Bor.Lor. 1.1)
To be filed within three months after the end of the period.
Annual Reports
Audited Financial Statement (Form Bor.Lor. 1 and Bor.Lor. 1.1)
To be filed within 21 days from the date approved by shareholder meeting, but not more than four months after the end of annually period, whichever is the sooner.
Annual Compliance Report (SEC Circular SEC. Gor. 15/2538)
To be filed within 60 days of the following year.
Other Reports
Report on Gross Operating Income for Annual Transaction Levy Calculation (Form 14-2) (Notification No. SorThor/Nor/Yor. 59/2546)
To be filed by January 31 of the following year, together with the 1st installment of the annual transaction levy.
Notifying Report on Establishment of On-shore Branch Office (Form 92-2/18-2)
Notifying Report on Establishment of Off-shore Branch Office (Form 92-3/18-3)
(Notification No. TorThor. 8/2551)
To be filed before the commencement date of branch office.
Notifying Report on Location Change of Headquarter, Full Branch, or Cyber Branch (Form 98(9)-1) (Notification OrThor. 12/2543)
To be filed before the new location is inaugurated.
 
 
Last updated on 18 January 2013
The Securities and Exchange Commission, Thailand
333/3 Vibhavadi-Rangsit Road, Chomphon , Chatuchak Bangkok 10900, Thailand
Tel. +66 2033 9999 Fax. +66 2033 9660 e-mail : info@sec.or.th<
Copyright www.sec.or.th 2013 Privacy Policy | Disclaimer | Site Map