................................................... This Audit Firm Profile and Details is made under the Notification of the Office of the Securities and Exchange Commission on Approval of Auditors , which requires that the auditors who are approved by
Market Supervisory Board, or the Office of the Securities and Exchange Commission has recommended any investment in the securities nor shall they assure the value or returns on the securities being offered
mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on
expert to give opinions on the dispute. An expert shall be independent and have no personal interest with any party which may cause biased and unfair opinions. The arbitrator shall determine the expert’s
) ………………………………………………………… Location of head office ……………………………………………………………… …………………………………………………………………..…………………… Telephone number …………………….. Facsimile number ……………………….. Part 2: Category of an applicant □ A commercial bank under the
Category of business applied for registration □ to be a derivatives advisor 1.1 Category of juristic person of the applicant, □ a commercial bank under the law on commercial bank (CB.); □ a finance company
submission date; (2) name and location of the applicant; (3) name, work experiences and qualifications of the person whom the applicant will appoint as the authorized person of securities registrar; (4) rights
September 2013 (“ Notification No. TorThor. 35/2556 ”) and the notification of the Office of Securities and Exchange Commission No. SorThor/Nor. 45/2559 Re: Rules in Detail on Regulations Concerning the
the words “Provident Fund” and followed by the words “which has been registered”; (2) the location of office; (3) the objectives; (4) the procedures for admission of members and termination of
”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and