Office’s website, together with evidentiary documentation to the SEC Office. Clause 9 For the deliberation of the application for obtaining an approval of establishing oversea branch office as prescribed in
, any transaction between each investment policy shall be deemed a transaction with a connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9
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
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
complete evidentiary documentation, provided that the Thai feeder fund meets all the applicable requirements and all outstanding issues are addressed to the satisfaction of the SEC by such time. (2) A Hong
time to rectify the form or additionally deliver evidentiary documentation as specified by the SEC Office. Name Title Signature* 1. 2. * Authorized signatory of the company shall sign this Form and affix
case of oversea branch office, the intermediary shall submit an application for obtaining an approval, by using the form as provided on the SEC Office’s website, together with evidentiary documentation