cases where there are other Notifications of the SEC Office regarding approval of auditors for any specific matters. 2 Clause 5 It shall be deemed that the State Audit Office of the Kingdom of Thailand
same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an
Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an operating system which
Office; (j) Systems for receiving and processing complaints of unitholders’; (k) In cases where the applicant for the registration of fund supervisor intends to appoint any person as a custody agent, such
) Systems for receiving and processing complaints of unitholders’; 2(k) In cases where the applicant for the registration of fund supervisor intends to appoint any person as a custody agent, such applicant
; □ (2.3) Personnel planning for business expansion (if any). In the case where no personnel has been hired, the applicant shall submit the criteria for qualifications of such position. □ 5. Other supporting
business expansion (if any). In the case where no personnel has been hired, the applicant shall submit the criteria for qualifications of such position. □ 5. Other supporting documents. Please specify (If
emerged from the public, whether an ICO can be done legally, particularly whether it falls under the SEC’s regulations. Figure 1: ICOs that fall under the SEC’s purview 1.4 In cases where an ICO constitutes
shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the shareholder’s equity