of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the

Insurance Company/ Finance Institution Established Under Specific Law Particulars For the SEC Officer □ 1. Supporting documents for consideration under Clause 4 (1) : □ (1) Certificate from the organization

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

without delay. Clause 11. A securities company shall keep documents and evidence relating to the proceedings under Clause 9 and Clause 10 for a minimum period of two years from the preparation date thereof

under management of the same management company which is prohibited in accordance with section 126(3); Engaging into transaction under paragraph one, management company shall provide documents and

……………………… ………………………………………………... ……………………… ………………………………………………... ……………………… ………………………………………………... The company has hereto attached relevant documents and the form of curriculum vitae certification of the persons applied for approval to be executives of the company for the consideration, however, if

Approval _______________ Clause 14 The management company wishing to apply for an approval for the establishment of a fund shall submit an application in writing including the following supporting documents

Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

service or back office service; “Securities company” means any company licensed to undertake securities business in the category of securities broker according to the Securities and Exchange Act B.E. 2535

Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS material update [ ] 1. The Update Statements [ ] Any documents relevant to