incriminated nor prosecuted under the laws, either Thai or foreign, on anti-money laundering by an authority in charge and shall have no records on such offence during the period prescribed by the Office and no
anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money laundering authorities or the Securities Industry
whose names appear on the register of unitholders on the dissolution date of the mutual fund money or assets remaining after the payment of debts; (5) applying for registration of the dissolution of the
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
under Clause 8 of the Notification No. TorNor. 75/2552 relating to the distribution of money and documents to the unitholders shall not apply to the distribution of money and documents to the unitholders
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of each client and the
or damage on investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of
· Receipt of money transfer [ ] 10. Other supporting documents ( please specify ) _________________________________________________ * Documents 2. – 4. shall be prepared in accordance with the formats set out
: [ ] [ ] · Bank draft / Corporate cheque / Cash · Receipt of money transfer [ ] 10. Other supporting documents (please specify) _________________________________________________ Please print this checklist and