| |
Type |
Title |
Section |
See document |
Status |
Notified Date |
Effective Date |
|---|
| 1. |
Notification of the Office of the Securities and Exchange Commission 10/2546 |
|
|
|
 | 10/07/2003 |
01/08/2003 |
| 2. |
Notification of the Office of the Securities and Exchange Commission 6/2544 |
|
|
|
| 11/01/2001 |
01/01/2001 |
| |  |
Report/Form (Notification of Securities and Exchange Commission) |
Report on Underwriting of Securities that are Debt Instruments |
|
|
 |
|
|
| 3. |
Notification of the Office of the Securities and Exchange Commission 11/2543 |
|
|
|
| 14/03/2000 |
03/04/2000 |
| 4. |
Notification of the Office of the Securities and Exchange Commission SorThor. 23/2549 |
Re: Calculation and Report of Net Liquid Capital Calculation |
|
   |
| 08/05/2006 |
16/05/2006 |
| |  |
| | |
| | |
| 5. |
Notification of the Office of the Securities and Exchange Commission SorThor. 55/2546 |
Report Forms of Securities Companies (Synopsis) |
|
|
| 26/12/2003 |
01/01/2004 |
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Form Bor.Lor.2 Financial Status Report (Synopsis) |
|
|
|
|
|
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Form Bor.Lor 2/1 Income and Expenses Report (Synopsis) |
|
|
|
|
|
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Form Bor.Lor. 8 Report on Assets of Customers (Synopsis) |
|
|
|
|
|
| | |
| | |
| | |
| | |
| 6. |
Report/Form (Notification of Securities and Exchange Commission) |
|
|
|
| |
01/09/2007 |
| | |
| 7. |
Report/Form (Notification of Securities and Exchange Commission) |
(Synopsis) |
|
|
| 23/01/2007 |
16/03/2007 |
| 8. |
Report/Form (Notification of Securities and Exchange Commission) |
(Synopsis) |
|
|
| 23/01/2007 |
16/03/2007 |
| 9. |
Report/Form (Notification of Securities and Exchange Commission) |
(Synopsis) |
|
|
| 23/01/2007 |
16/03/2007 |
| 10. |
Report/Form (Notification of Securities and Exchange Commission) |
Form EF-3 Appointment of Authorized Officer |
|
|
| |
|
| 11. |
Report/Form (Notification of Securities and Exchange Commission) |
Form EF-4 Revocation of Certifier or Authorized Officer |
|
|
| |
|
| 12. |
Report/Form (Notification of Securities and Exchange Commission) |
Form Bor.Lor.Lor. 1 Capital Fund Calculation Form |
|
|
| |
|
| | |
Report/Form (Notification of Securities and Exchange Commission) |
Appendix Form BorLor.Lor 1 |
|
|
|
|
|
| 13. |
Report/Form (Notification of Securities and Exchange Commission) |
Form Bor.Lor.6 Report on Securities Lending |
|
|
| |
|
| | |
| 14. |
Report/Form (Notification of Securities and Exchange Commission) |
Form Bor.Lor.1 Balance Sheet and Profit and Loss Statement |
|
|
| |
|
| 15. |
Report/Form (Notification of Securities and Exchange Commission) |
Form EF-1 Agreement of Submitting of Electronic Data |
|
|
| |
|
| 16. |
Report/Form (Notification of Securities and Exchange Commission) |
Form EF-2 Appointment of Certifier |
|
|
| |
|
| 17. |
Circular 30/2544 |
|
|
|
| 28/09/2001 |
|
| 18. |
Circular 7/2544 |
|
|
|
| 22/01/2001 |
|
| 19. |
Circular 16/2543 |
|
|
|
| 12/07/2000 |
|
| 20. |
Circular 5/2543 |
|
|
|
| 29/02/2000 |
|
| 21. |
Circular 2/2543 |
|
|
|
| 08/02/2000 |
|
| 22. |
Circular 28/2541 |
|
|
|
| 26/08/1998 |
|
| 23. |
Circular 30/2540 |
|
|
|
| 25/12/1997 |
|
| 24. |
Circular 11/2547 |
|
|
|
| 03/05/2004 |
|
| 25. |
Circular 33/2546 |
|
|
|
| 31/12/2003 |
|
| 26. |
Circular 12/2546 |
|
|
|
| 29/07/2003 |
|
| 27. |
Circular 23/2544 |
|
|
|
| 18/06/2001 |
|
| 28. |
Circular 5/2544 |
|
|
|
| 18/01/2001 |
|
| 29. |
Circular 18/2543 |
|
|
|
| 08/09/2000 |
|
| 30. |
Guideline |
|
|
|
| |
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