: Contact person: Email: Name of local representative: Contact person: Email: Name of local intermediary: [in case of an ETF, please state the names of market maker and participating dealer of ETF] Contact
collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult your local intermediary, local
foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult your local intermediary, local
Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted
of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand
available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
the audit firm’s or has been received from its clients; 4. I well acknowledge and understand the requirements in the Notification of the SEC Office regarding Approval of Auditors , and I am willing to
from clients to accommodate the SEC’s request. 4. I well recognize and understand the requirements in the notification of the SEC regarding to the approval of foreign auditors and I am willing to comply
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SEC Thailand within 45 days after the last day of each calendar year. The CIS operator or local intermediary shall report the result of the sale to the SEC office within 45 days after the last day of