แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary
……................ 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
system. The exemption provides tax equalization, eases burden and attracts individual?s investment, which will facilitate investment in listed ASEAN securities through SET trading system and thus
Certification of audit firm leader Date……..Month………….Year………… Dear Secretary – General of the Securities and Exchange Commission I, Mr./Mrs./Miss………………………………………………….… (leader’s name), the leader of
well as the individual face value of each type of debt securities offered or listed. 3. Provide information about the form of the security, such as whether investors can obtain physical certificates or
of the debt securities. 2. Indicate whether the debt securities are registered or bearer securities, the total nominal amount of the debt securities as well as the individual face value of each type of
an opinion on audit reports; 2.2 being affiliated with an audit firm that has an audit quality control system and the required number of personnel; 2.3 meeting other requirements, e.x., not having
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages