the profit and loss statement for the three most recent years in the case where the audit firm is established in the form of a group of persons; (8) Certification and consent letter of the audit firm
derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which
providing services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives
private fund for which it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of
audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply
of Thailand (SEC). I, the leader and authorized director of ……………………………………….……... (name of the audit firm), hereby certify and consent as follows; 1. I certify that the audit firm has audit quality
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
for the disclosure according to its duties. (4) Not to make presentation which will guarantee profit or return at a certain rate or the loss shall not be more than the rate already specified, except for
entering into such transaction. Clause 13 3 Appointing a custodian who is a connected person of a private fund management company is permissible only upon written consent of the client or the provident fund