) Other bodies (please provide details: _____________________________________) Please specify the name and address of the intermediary (please use an enclosure if there is more than one intermediary): Name
is revoked by the SEC Office, or where a securities company is part of a financial conglomerate with a shareholding structure, internal audit and supervision by other regulatory bodies as specified by
Management Company Licensed Bank/ Financial Institution Licensed Securities Company Licensed Institution/ Corporation/ Organisation (e.g. insurance company) Other bodies (Please provide details
Licensed Bank/Financial Institution Licensed Securities Company Licensed Institution/Corporation/Organisation (e.g. insurance company) Other bodies (Please provide details
share of my audit clients or its related entities; 2. My immediate family members, including spouse and children, and I are not director, executive or representative of my audit clients or its related
of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2
Securities and Exchange Commission hereby issues the following regulations: Clause 1 The management of funds of juristic entities under the same business group shall not be regarded as the undertaking of
, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of
number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock
กำกับ ดูแลด้านหลักทรัพย์และตลาดซื้อขายหลักทรัพย์ที่เป็นสมาชิกสามัญของ International Organizations of Securities Commission (IOSCO) (2.2) ในกรณีที่เป็นการลงทุนหรือมีไว้เพื่อเป็นทรัพย์สินของกองทุนรวมเพื่อ