) หรือผูค้วบคุมงานสอบบญัชี (supervisor) หรือเทียบเท่าข้ึนไป ก็สามารถมายืน่ขอความเห็นชอบ เป็นผูส้อบบญัชี SMEs ในตลาดทุน ได ้ คุณสมบัติในเร่ืองประสบการณ์ สอบบัญชี* อยา่งนอ้ย 10 ปี อยา่งนอ้ย 7 ปี ประสบการณ์ลง

.: _________________________ Page 6 of 9 Form 35 – ARFP CIS Part E: Independent Oversight Entity of the Passport Fund (Trustee/ Fund Supervisor) Same as Custody No [if “No”, please provide further information below] 23) Name of

required; - SEC official considers the clarification of the applicant and discusses the case initially with the supervisor (if any); - The responsible department concludes the consideration and proposes for

ลักษณะตามที่กำหนดใน Part I : Qualifications of the CIS Operator, Trustee/ Fund Supervisor, and requirements relating to 

of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must

) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must gather information on name, last

identity using reliable sources of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1

facts which the SEC Office has gathered and presented under Clause 19 and is of the opinion that the person under consideration has any behaviors under Clause 16, provided that the resolution is obtained

be on 2 August, 2017 and the list of shareholders is to be gathered according to section 225 of the Securities & Exchange Act by closing the shareholders’ registration book on 3 August, 2017. Please be

Administrative Sanction Clause 6. When the SEC Office has gathered the facts and preliminarily considered that any person has the behavior that should be subject to the administrative sanction, the following