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.
|