the offering of capital shares to the group of persons and the price thereof as mentioned above to gather complete information before making a decision and passing a resolution
submit comments via the SEC website or email: ekarit@sec.or.th and chawin@sec.or.th. The public hearing ends on 27 March 2021. The SEC will also conduct a live talk to gather public opinions on the
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
Fund Any other type, please specify __________________________________________ 6) Is the NRI CIS a sub-fund of an umbrella fund? Yes No If “Yes”, please state the name of the umbrella fund
) Page 3 of 8 Form 35 – NRI CIS 6) Is the NRI CIS a sub-fund of an umbrella fund? Yes No If “Yes”, please state the name of the umbrella fund
standardized audit manual, audit policies and procedures on all audit and assurance assignments? And does the firm use specific audit manual for special industries of clients? If yes, Is the audit manual: (a
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the