, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
matters should include a comprehensive flowchart of the overall business structure of the majority shareholder. Also required is information on the rationale and opportunity or necessity for mutual reliance
.................................................................. as an authorized person to affix binding signature on every page of this document. If the signature of...........................................does not appear on any document, such document shall be
condition of such relationship including the characteristics of business relationship. Clarifications on the said matters should include a comprehensive flowchart of the overall business structure of the
, and the names of competitors (only in the case of duopoly or oligopoly), etc. (3) Procurement of products or services Describe an overall procedure for procuring products for sale during the preceding
as well. For example, for investment or encumbrance creation of mutual funds or private funds, it shall consider a process in settlement or delivery which may affect to an overall market system. For a
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this
, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in
(..........................................................) CPA No……......................... Issued by …………………………. Audit Firm Name ………………………………………………… Country …………………………………………………………… Document Checklists for Fast Track Applicants (Please mark X for all that