supervisor, who was approved by the SEC, co-sign to certify completeness of information provided in the applications, filings, reports and all document submitted to the SEC. Scope of works 1. Issuance and
attach to the audit firm equipped with audit quality control system. These efforts will support the Thai capital market and Thai accounting professions to gain more investor confidence, both domestic and
reports for clients' review 4. Equipped with an electronics platform in rendering services. An arrangement of knowledgeable and competent staffs is required for taking part in determining processes and
the accounting periods that the mutual fund have retained earnings or net profit, provided that: 1) The dividend payment must not increase the mutual fund's retained loss in that accounting period. 2
, provided that: 1) The dividend payment must not increase the mutual fund's retained loss in that accounting period. 2) Dividend payment by issuing investment units to unitholders is prohibited. Retained
/advertising information / services provided by the company, for instance: Solicitation to buy stocks/derivatives/mutual fund Portfolio information Email, address, telephone number, a certified copy of Thai
Details Regarding the Services with Specific Features Provided by Securities and Derivatives Business Operators (No.3) The Notification of the Office of the Securities and Exchange Commission No. SorThor. 2
limited company to undertake such business with the SEC Office, provided that such application shall be in form and attached with supplementary documents as specified by the SEC. Clause 3 In case where the