Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of Audit Firm) .pdf file | .doc file 4. Background and Details of Applicant Requesting Approval .pdf file
Content Equity Instruments Shares Related Forms Application for Approval of an Offer for Sale of Newly Issued Shares (Form 35-1) Application Form for the Offer for Sale of Newly Issued Shares (Form 35-2
their investment objective, investment experiences, financial status, financial obligations, investment requirements, and restrictions. 1.2 The agreement for the management of a private fund or provident
their investment objective, investment experiences, financial status, financial obligations, investment requirements, and restrictions. 1.2 The agreement for the management of a private fund or provident
imposed when the SEC is granted an approval of the Civil Sanction Committee, which comprises five members, namely: (1) the Attorney-General; (2) the Permanent Secretary of the Ministry of
consent letter of the audit firm (Form 61-2); Period of Approval Validity : not over five years per period 2.1.2 Qualification of Approved Auditor An auditor to
: Detail Content -Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking Securities Business License in the Category of Investment Advisory Service B.E. 2545 By virtue of
-Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking of Securities Business in the Category of Mutual Fund Management B.E. 2545 (As amended) By virtue of Section 7 and the
establish limited company or public limited company for operating securities business in the category of private fund management shall file an application for approval thereof with the SEC Office within the
establish limited company or public limited company for operating securities business in the category of private fund management shall file an application for approval thereof with the SEC Office within the