Covered Funds and Covered Management Companies and related Cooperation Dated 20 January 2021 This MoU has been concluded between the SFC and the SEC in light of global financial market growth and increasing
evidence: (1) certification letter and consent letter of the audit firm to which the applicant is attached which certifies and gives consent in the following matters, as per Form 61-2 which is available on
documentation: (1) letter of certification and consent of the audit firm to which the applicant is attached, which certifies and gives consent in the following matters as per Form 61-2, which is available on the
178,713,420.36 31,807,149.07 1,643,024.07 2 5 Offences/Year 2023 Signed a Letter of Consent Filing a lawsuit to the Civil Court Director of Company Unfair Securities Trading Activities *This offense was committed
details of the outsourcing clearly in the details of the mutual fund project, or obtain a written consent from a client who is a private fund or a provident fund, as the case may be; (2) arrange a report on
private fund for which it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of
Unofficial translation FORM 35-E2 Letter of Consent (Inspection of the director and executive’s qualification on the company’s request) Attention: Secretary General, the SEC Office Whereas I
, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the
and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly, as follows: SECTION 1. This Act shall be called the “Securities