Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the

Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the

) wish to be approved as a foreign auditor in the capital market under the Notification of the Office of the Securities and Exchange Commission No. SorShor 30/2558 dated 9 April 2015 Re: Approval of

Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the

Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and

: …………................................................................................... Date: ........................................................ Company Letter No.: ................................................ Dear Secretary-General Office of the Securities and Exchange Commission

has been authorized, approved or registered as advisor under the Notification No. OrNor. 2/2545, securities investment analyst under the Notification No. SorKhor. 25/2547, marketing officer under the

].............., CPA License No. ......................, I hereby provide evidentiary documentation for your consideration, as follows: 1. Evidence on the registration of juristic person / body of persons: 1.1 a copy of

without having to apply for a license or registration. By the authorized agency…………………………………… Country……………………………………………………………… 2.2 Regulation on scope of business operation: □ No □ Yes, please specify the

Commission Notification of the Securities and Exchange Commission No. SorThor. 23/2549 Re: Calculation and Report of Net Liquid Capital Calculation _____________ By virtue of Section 109 of the Securities and