connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9 In the case where an intermediary enters into a transaction for a client with the
documentation: (1) letter of certification and consent of the audit firm to which the applicant is attached, which certifies and gives consent in the following matters as per Form 61-2, which is available on the
instruments or financial transactions: (1) shares of an investment company; (2) unit trust certificates; (3) instrument or evidentiary documentation showing the right in the assets of foreign collective
services are efficient, transparent, and examinable, in a bid to promote confidence towards, and integrity and security of, the overall financial system, and to improve the competitiveness and image of the
evidentiary documentation according to the Licensing Manual for the Public. In this regard, the application fee shall be in accordance with the Notification of the Office of the Securities and Exchange
streamline processes and reduce costs of the bank related to documentation or approval and enhance business efficiency. Relaxation of Rules and Practices for Measures to Prevent Thai Baht Speculation The
also approved and authorized the Chairman or a designee by the Chairman to final the details of the investment for relevant documentation and actions 7. Approved the related parties transaction as the
application together with the correct and complete evidentiary documentation, provided that the Thai feeder fund meets all the applicable requirements and all outstanding issues are addressed to the
having duty as prescribed in the second paragraph of Clause 3(2)(a) shall keep evidentiary documentation or information supporting the reason for allocating shares to any person in the value more than 100
evidentiary documentation or information supporting the reason for allocating shares to any person in the value more than 100 million baht at the head office for at least one year as from the closing date in a