the Office regarding approval of auditors. Clause 4. An auditor of a finance and securities company shall be an auditor approved by the Office in accordance with the notification of the Office regarding
paragraph two. In granting an approval under paragraph one, the Office may specify a period in which the applicant so approved to be listed in the register of person qualified to be fund manager shall attend
securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of
rules stipulated therein. Chapter 1 Requirements on the Application for Approval for the Establishment of a Fund _____________ Division 1 Features of the Fund to be Approved _______________ Clause 9 The
). Clause 2. The auditor who is approved by the Office of the Securities and Exchange Commission under the Notification governing approval for auditor , and is eligible to do auditing and put his or her
of Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 as amended by
approved person is in compliance with this Notification and the governing laws or associated regulations. Clause 6 The SEC Office shall have the authority to revoke an approval in the following conditions
applying for approval using similar qualifications of investor contacts approved by or registered with any foreign regulatory organizations accepted by the Office, the application shall be submitted by the
deemed that the intermediary has obtained an approval from the SEC Office to appoint such person: (1) the approved person to be fund manager; (2) the approved person to be REIT manager who has passed level
approved person is in compliance with this Notification and the governing laws or associated regulations. Clause 5 The SEC Office shall have the authority to revoke an approval in the following conditions