แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary
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
under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand (issued by CIS Operator
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
trading. B. Entities Providing Liquidity. If any entity has made a firm commitment to act as intermediary for the debt securities in secondary market trading, such as market maker providing liquidity
. The disclosure shall include at least the proportion contributing more than 10 percent of the total income in the profit and loss statement of the latest financial year. Such income information shall be
statement of the latest financial year. Such income information shall be disclosed in the table below. If the operating results of each product line have already been disclosed in full in the note to the
made a firm commitment to act as intermediary for the debt securities in secondary market trading, such as market maker providing liquidity through bid and offer rates, disclose the name and address of