Thavaramara said: ?The SEC strongly advises against pre-authorization on blank forms or documents of any kind to prevent investment consultants from using such documents to seek unlawful personal gains. Also
not to allow investment consultants to make investment decisions for them. In case of assigning other persons to send trading orders on investors’ behalf, a written authorization is required. In any
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
: ...................................................... (…………………………………………….) Authorized person Date: ......................................... Remarks: 1. In case of authorization for submission of documents, a power of attorney is required. 2. In case of a juristic person, the
status of licensing or registration or approval or authorization of the Recognised Representative including, but not limited to these events: (1) Where any of its Recognised Representative has committed
specified under Section 26 of the Constitution of the Kingdom of Thailand; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly, as
used the part of expenditures is not over 20 million baht for calculating of consent. Signature………………………………………………….Authorized director (Mr.Surin Tohtubtiang) Position Chief Executive Officer
such transaction. Clause 13 3 Appointing a custodian who is a connected person of a private fund management company is permissible only upon written consent of the client or the provident fund committee
not over 20 million baht for calculating of consent. Signature………………………………………………….Authorized director (Mr.Surin Tohtubtiang) Position Chief Executive Officer
of Information Intend to Examine by the Securities Company Report/Form (Notification of Securities and Exchange Commission) Consent Form for Personal Information Disclosure Contact The Securities