period; (2) in case such person has been vacated from the approved position due to any cause other than being revoked the approval by the SEC Office such as the expiration of the term of office and such
in quality control system 1. 2. Details of other auditors approved by the SEC Office of.......persons. Names and Last names CPA License No. Position Approval Period 1. 2. 3. (Additional details can be
have already obtained an approval to perform function in any position under Clause 8(1) (2) or (4), and such period of approval has not ended, the approval of all kinds shall end in concurrent with the
the person who have already obtained an approval to perform function in any position under Clause 8(1) (2) or (4), and such period of approval has not ended, the approval of all kinds shall end in
Position: .................................................................................................................... (For further details, please attach herewith) (2) Approval date of CPA License
of the management company or any equivalent position called otherwise who take the highest responsibility in the line of work relating to capital markets if such person obtain approval to be listed in
Provisions ______________________ Clause 17. The person having been granted approval to be Category A investor contact based on the qualification of being Director or Executive, but not the position of Manager
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but
. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 43/2544 Re: Rules, Conditions and Procedures for the Approval of
to be Fund Manager, such person shall hold the position with either of the following characteristics: (a) not causing any conflicts of interest with the management of funds; or (b) being the position