of the ultimate shareholder of the Audit Firm. If the major shareholder of the Audit Firm is a company, please specify the major shareholder of that company in order that the SEC Office will have the
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
without subject to regulations of this Notification. Clause 6 In this Notification: (1) “audit firm” means an audit firm where an auditor is attached and conduct audit work for; (2) “financial institution
UNOFFICIAL TRANSLATION Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and Exchange
Notification: (1) “audit firm” means an audit firm where an auditor is attached to and conducts audit work for; (2) “financial institution” means: (a) a commercial bank, finance company or credit foncier company
(UNOFFICIAL TRANSLATION) (Updated 2015) 4. Certification of Leader of Audit Firm Date ........ Month ............ Year.......... To: Secretary-General Office of the Securities and Exchange Commission
firm” means a securities company having obtained securities brokerage license [under the Securities and Exchange Act B.E. 2535 (1992)]. 3 Chapter 2 Offering for Sale Regarding Units of Foreign Collective
แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and
of a brokerage firm to perform duty as local intermediary in Thailand (issued by Qualifying CIS Operator) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the