, Permission by Registration and All Applications for Obtaining Approval to the SEC Office on the date when the complete and accurate application together with the evidentiary documentation have been submitted
material misstatements, as well as determining whether they are properly implemented. Although the form and extent of documentation for this audit procedure are influenced by several factors such as the
of such requesting will be proposed to the unitholders’meeting to the extent that it is clearly demonstrated that the allocation of units for raising capital would be in accordance with the rates and
languages other than Thai or English, a person having duty according to this Notification shall also: (a) have a translator certify that it is a true and accurate translation of the original information or
(1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker of a securities company under Section 100 of
of operational function other than sub clause (1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker
of such client, the securities company shall record the name of the third party who is the owner of the assets in the client’s asset account as well. Clause 13 A securities company shall keep accurate
third party who is the owner of the assets in the client’s asset account as well. Clause 13 A securities company shall keep accurate, complete and updated records of assets of clients. In case of making