, Certification and Consent of the Company's Director and Executive (Form 35-E1) Letter of Consent to Disclose Information (Inspection of the director and executive's qualification on the company's request) (Form
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
specified by the Civil Sanction Committee, such offender must sign a letter of consent. After the offender has made a payment of pecuniary sanction in full, the right to institute a criminal prosecution shall
cases of corporate fraud; Supervising business operators to take care of investors with fair and reliability; Educating and warning investors to ensure they have sufficient knowledge for decision making
loan, a loan limit and conditions of such credit shall be specified, and there shall be a statement conveying the client's consent to assign the private fund management company to arrange such matter
loan, a loan limit and conditions of such credit shall be specified, and there shall be a statement conveying the client's consent to assign the private fund management company to arrange such matter
data as required by law. In the case of personal data obtained through consent, for example, for seminars, the SEC Office will retain your personal data for a period of two years from the date of the
the following : 1 . NC or NCR ≤ 1 . 5 times of minimum requirement ( early warning level ) that is 1 . 1 For the case of securities company operating only securities or derivatives business NCR
หรือ NCR ≤ 1 . 5 เท่าของเกณฑ์ขั้นต่ำ ( early warning ) 1.1 กรณีประกอบธุรกิจหลักทรัพย์หรือธุรกิจสัญญาซื้อ ขายล่วงหน้าเพียงอย่างเดียว NCR ≤ 10 . 5 % หรือ NC ≤ 22 . 5 ล้านบาท 1.2 กรณีประกอบ
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