performing such role. In this regard, if such compensation is in accordance with the rules under Clause 15 (2), the management company may proceed without the approval of the mutual fund supervisor prior to
Auditors and will perform my work in accordance with such Acts and Notification. I fully realize that in case I fail to comply with the Securities and Exchange Act B.E.2535 (1992) , the Trust for
capabilities fully and cautiously with sufficient information and referable evidence; (c) members shall disclose to clients any case where the members have an interest, whether directly or indirectly, in any
accurate and complete; 2. I fully understand the provisions in the Notification of the Office of the Securities and Exchange Commission concerning Approval of Auditors in the Capital Market and am prepared
) review of suitability of (1). In the case that the intermediaries have fully complied with the Guidelines under the first paragraph, the SEC Office shall consider that the intermediaries have already
according to the guidelines under (1) as well. If the holding company operates business of various types with a central company performing the role of managing subsidiaries or associated companies in each
shall: (1) have personnel in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable
Certification Program (DCP) [ ] Director Accreditation Program (DAP) [ ] Audit Committee Program (ACP) [ ] Finance for Non-Finance Director (FN) [ ] The Role of Chairman (RCP) [ ] Understanding the
Securities and Exchange Commission throughout the approval period. I fully acknowledge that failure to proceed in accordance with this certification may lead to the SEC Office’s refusal to grant approval to
Relationship between your firm and the network (e.g. full member, associated firms) Does the firm fully apply the policies procedures and audit methodologies of the network? Yes No 3. Registration with an audit