Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the audit firm
For the purpose of considering an application for approval as a foreign auditor in the Capital Market for Mr./Mrs./Miss …………………………………………... (applicant’s name) by the Securities and Exchange Commission
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and
> Fundraising > Equity Instrument > Share > Related Forms Regulations SHARE : Detail Content Equity Instruments Shares Related Forms Application for Approval of an Offer for Sale of Newly Issued Shares
management company may seek a general consent from the client or the provident fund committee in advance in the private fund management agreement. Clause 15 A management company may enter into a transaction
advance in the private fund management agreement. Clause 15 A management company may enter into a transaction for the fund with a connected person only upon the approval of the mutual fund supervisor or the
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
conditions different from the provision of services by licensed securities business operators, and that the client’s consent is required prior to provision of such services; (4) make an agreement with the
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________