name / Last name (if any) (in English) Title First Name Last name Date of Change (Please specify all information on change of first name / last name since becoming sui juris and attach documents
under this Act. SECTION 6 All rules, regulations, notifications, directives or stipulations issued under this Act by the SEC or the SEC Office which are of general application shall come into force upon
general public stipulating the period for consideration and making of order with respect to issuance of license, acceptance for registration and grant of approval under this Act. SECTION 7. 2 All rules
consideration of a fee or other remuneration excluding the giving of advice to the public in the manner as specified in the notification of the SEC. "securities underwriting" means the underwriting of all or part
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
ownership of, the possessory right or the leasehold in land, building, construction, machine, equipment including all other related assets used in the operation of an infrastructure business; (b) the
(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily
unitholders as well as to do all other acts as may be necessary for the completion of liquidation in accordance with the rules, conditions and procedures as specified in the notification of the SEC. The
the ……………………..…………………..…… (audit firm’s name), hereby certify follows; 1. Mr./Mrs./Miss……………………………………(applicant’s name), meets all criteria in the Notification of the Office of the Securities and
quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor