regarding anti-corruption policy and practices. Level 4 ? Certified: indicating an implementation audited by audit committee or SEC-approved auditor, a certification by Collective Action Coalition (CAC) or an
ซ่ึงเปนไปตามเกณฑปกติวาดวย การเปดเผยขอมูลเก่ียวกับการออกและเสนอขายตราสารหน้ี 2.4 สนับสนุนใหมี external reviewer ท่ีมีความเช่ียวชาญและประสบการณในสิ่งที่ตนประเมิน โดยใหเปดเผย credential และ scope ใน
material change to the document. Department of Business Development 3) Certification of the Applicant via SEC Office Online Form Original: 1 copy Photocopy: 0 copy Remark: Signature of the applicant - 4
) Evidence that foreign ETF and foreign ETF operator are subject to supervision of foreign regulator who is a member of the International Organization of Securities Commissions (IOSCO); (5) Certification that
through an agent who is not able to reach a satisfactory solution of the customer; (3) record the complaint in (1) from the customer in writing with the customer’s signature for certification prior to the
is not able to reach a satisfactory solution of the customer; (3) record the complaint in (1) from the customer in writing with the customer’s signature for certification prior to the securities
(Notification of Securities and Exchange Commission) Form 104-4 Certification of Executive Profile of Securities Company 14. Report/Form (Notification of Securities and Exchange Commission) Form 104-5 Form for
) Form 104-3 Application Form for an Approval of Executive of Securites Comnpanies 7. Report/Form (Notification of Securities and Exchange Commission) Form 104-4 Certification of Executive Profile of
and Exchange Commission) Form 104-3 Application Form for an Approval of Executive of Securites Comnpanies 15. Report/Form (Notification of Securities and Exchange Commission) Form 104-4 Certification