the mutual fund’s accounts and related documents certified by the management company, and arrange for the fund supervisor to deliver the mutual fund’s accounts and related documents to the liquidator

applicant; (3) Certification of the leader of the auditor firm; (4) Profile and details of the audit firm; (5) Cover letter for delivery of the evidentiary documentation related to the audit firm; (6) Copy of

wishes to cancel the provision of services as securities registrar shall notify the securities issuer of the service cancellation in writing, and shall arrange the delivery of securities and documents

specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports

agricultural futures business, with price settlement and contract delivery obligations; (2) fifty million baht for undertaking of agricultural futures business with price settlement and contract delivery

companies, such as submission of securities trading order, clearing and settlement and delivery of securities and assets, sale and redemption of investment units, and NAV calculation. 3.2 Risk Assessment

clients’ order for accuracy and completeness disbursement 1.5 Control of receipt and disbursement of money including relevant documents 1.6 Collection and delivery of financial and other relevant documents

who is independent from the responsible person for managing information security incidents under (2); (7) maintain all documents related to the management of information security incidents at least two

preventive measures to the Office, but shall instead submit a copy of the documents certified by the fund supervisor indicating that the incorrect unit price is caused by external factors which are

advice; (2) an evidence showing the delivery of document acknowledging the correctness and completeness of the adaptive information of a customer; (3) an analysis and document evidences supporting the