: __________________________________ __________________________________________ (full name) __________________________________________ (company) Form updated as of June 2021 Sales Report Form for the sale of units of foreign collective
certify the correctness of the updated profile; unless the customer opposes within thirty days from the date the investment advisory company delivers the updated profile to the customer, such updated
, complete and updated records of assets of clients. In case of making correction to any record, the securities company shall complete such correction within the same working day when the cause of correction
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 4. Certification of Leader of Audit Firm Date ........ Month ............ Year.......... To: Secretary-General Office of the
transactions. Clause 9 A securities company shall provide evidence on securities trading and maintain such evidence in full and updated condition for at least five years from the trading date, provided that the
Companies ; (2) “ securities ” means any securities which are not debt instruments or investment units; (3) “ securities company ” means a company licensed to undertake securities business in the category of
the essences of the changes in brief for investors to be updated on the development of sustainability management of the Company on a continued basis. 3.2 Management of impacts on stakeholders in the
or its staff. Clause 14 A management company shall require the representative to completely keep updated evidentiary documentation as for providing services to clients. In this regard, such documents
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) PAGE (Updated 2017) photo size 1 inch (taken less than 1 year) 2. Background and Details of Applicant Requesting Approval 1. First and last name of