assessment according to Clause 30, an intermediary shall obtain at least the following a client ’s information: (1) personal information of the client or beneficial owner and information of their

information: (1) personal information of the client or beneficial owner and information of their representative (if any); (2) information pertaining to ability to repayment and the source of income used for

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

apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F Application for registration as a foreign auditor in the capital market. Signature of the applicant is required. (2) Applicant’s personal

personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in

Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of

personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the keeping of documents and evidences to be prepared for or used in

on Holding of Investment Units of Mutual Funds and Duties of Management Companies. The intermediary shall dispose of the units invested under (1) of Paragraph 1 at the earliest occasion by taking into

1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this

include such compensation in any payment made on the first occasion to the unitholders. However, if such person is no longer a unitholder, the management company shall complete the price compensation within