defects in its qualifications within the time period specified in paragraph two, the mutual fund management company shall request the SEC Office’s permission to change the mutual fund supervisor within 15
Unofficial translation FORM 35-E3 Letter of Request for Checking the Director and Executive Qualification (Inspection of the director and executive’s qualification on the individual’s request
request and application fee Approval request fee of 50,000 baht due to the following cases: (1) First time request for approval (the applicant has never requested an approval before); (2) Request for
Telecommunications Commission (“NBTC”) to request for the License return on 10 May 2019 (“Transaction of Returning Spring26’s License”). Besides, NBTC delivered the notification letter, dated 27 June 2019, regarding
floating interest rate; (3) in case of accepted, aval, endorsed, or guaranteed debt instruments, such acceptance shall be unqualified, aval shall be given as to the whole amount, endorsement shall be made
determine the currency conversion, as well as the basis for that determination. 7. Where not all of the debt securities being offered are guaranteed, provide a statement for a non-guaranteed portion. B
request or inspection. Chapter 2 Securities Trading Clause 9. Securities company shall notify its counter trader whether such offering price is a firm quotation or an indicative quotation. Clause 10. In
it for at least five years as from the trading date, of which evidence and document of the latest two years must be available for the Office’s request or inspection. Chapter 2 Securities Trading Clause
results in the future (if any); (5) in the case of a guaranteed fund, a summary of important details of a draft guarantee agreement, the financial status and operating results of the guarantor at least over
and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities