evidentiary documentation related to its proprietary trading in accordance with the following rules: (1) the report on the purchase and redemption of investment units under (1) of Paragraph 1 of Chapter 11
documentation demonstrating that it has qualifications as stipulated in Division 2 of this Chapter. In case of the company stated in Clause 4(2), the following evidentiary documentation shall be submitted as well
notified by the SEC Office; 3. I consent to prepare and deliver information or evidentiary documentation as required by the SEC Office, no matter if such information or documentation is the audit firm’s or
for Submitting Information or Documentation _________________________ Clause 5 The submission of information or documentation to the SEC Office shall be in compliance with the following rules. In this
Investment Scheme and Submission of Evidentiary Documentation in Chapter 1; (2) Provisions relating to Draft Prospectus in Chapter 2; (3) Reporting of the Sales of Units of Foreign Collective Investment Scheme
risks as basis for determining how the risk should be managed. Questions Yes No 7.1 The company identifies all risks which may affect business operation at levels of organization, business unit
according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or filled up at the
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary
Transactions in Capital Market B.E. 2550 (2007). I hereby attach the following evidentiary documentation in support of my application: (1) Certification of the applicant; (2) Personal record and details of the