. ......................................................................................................................................................... As at (the last day of the pervious accounting period).................................., the Audit Firm has the total of ..............employees, comprising of the employees who provide auditing
……................ working for ……..(NAME OF AUDIT FIRM)......, wish to apply for an approval of the SEC Office to be an auditor of businesses under the Securities and Exchange Act B.E. 2535 (1992) and the Trust for
Bangkok, October 30, 2012 ? The SEC requires advertisement on marketing campaign for selling mutual fund investment units clearly provide the fund?s information and avoid giving too much information
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
inspection Has your firm been inspected quality control systems by the audit oversight authority? Yes No If yes, please provide us the latest results of the inspection 4. Audit Experience Have you ever
the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management