mutual fund had been given an approval by the Office in accordance with the rules, conditions and procedures as specified in the notification of the SEC.

, unless permission has been granted by the Office to open or close its office at any other hours or days.

to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely

the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an

Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the

person. [ ] Yes [ ] No (3) I have been denounced by the SEC Office or have been tried in any criminal proceedings resulted from denunciation by the SEC Office or was imprisoned by the court’s final

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

established by a specific law with an objective to undertake businesses; “Association” means any association relating to securities businesses which has been approved by and registered with the Office and whose

securities and the amount of money paid for securities which have been purchased by the underwriter as well. The report as referred to in the first paragraph shall be made in accordance with the rules and

individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages