Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
company or when the order of the SEC or the Office has come into force, shall be exempt from filing reports for all categories, commencing from the month in which the business operation ceases or is
Clause 3(1). Chapter 3 Conditions Imposed on Licensees ____________________ Clause 10 An agricultural derivatives business licensee shall comply with the following conditions: (1) commencing the operation
an audit oversight authority. Signature of the applicant to certify true copy is required. (9) Photocopy of the latest inspection result or report issued by the audit oversight authority. Signature of
exempt from preparing and filing reports for all categories, except report of clients’ assets as prescribed in Clause 3(3), commencing from the month in which the business operation ceases. Such exemption
commencing from 1 January 2011 onwards. Notified this 15th day of December 2010. (Mr. Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Remark: The rationale for
.: _________________________ Part E: Independent Oversight Entity of the Passport Fund (Trustee/ Fund Supervisor) Same as Custody No [if “No”, please provide further information below] 23) Name of Independent Oversight Entity
statement of claim to be delivered to the respondent. The claimant may request for the Office’s mediation of dispute prior to commencing the arbitral process, at the same time of filing the dispute. Clause 8
account or commencing derivatives trading with a client, the derivatives broker shall put in place a procedure to ensure that the client is aware of the risk associated with derivatives trading by preparing