calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for
Transactions in Capital Market B.E. 2550 (2007) . I hereby attach the following evidentiary documentation in support of my application: (1) Certification of the applicant; (2) Personal record and details of the
apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F Application for registration as a foreign auditor in the capital market. Signature of the applicant is required. (2) Applicant’s personal
personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the
exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse
subsidiaries operating the core businesses and other oversight guidelines for activities such as approval of increase or reduction of capital and dissolution of subsidiaries, etc. In case of a holding company
personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the keeping of documents and evidences to be prepared for or used in
1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this