Investment Scheme and Submission of Evidentiary Documentation in Chapter 1; (2) Provisions relating to Draft Prospectus in Chapter 2; (3) Reporting of the Sales of Units of Foreign Collective Investment Scheme
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary
the request together with accurate and complete evidentiary documentation to the SEC Office before the submission period ends. If the SEC Office views that the request for the waiver is reasonable and
documents in full according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or
Original: 1 copy Photocopy: 0 copy Remark: Signature of the leader of the audit firm - 6) Submission letter of the Evidentiary Documentation related to the Audit Firm via SEC Office Online Form Original: 1
following evidentiary documentation: (1) details of the work system for preparing, procesing, storing and reporting provision of services as securities registrar, including the internal control system
currencies in the capital market. 5 Chapter 2 Language for Submitting Information or Documentation and Financial Statements _______________________ Clause 9 A submission of information or documentation to the
instruments or financial transactions: (1) shares of an investment company; (2) unit trust certificates; (3) instrument or evidentiary documentation showing the right in the assets of foreign collective
documentation demonstrating that it has qualifications as stipulated in Division 2 of this Chapter. In case of the company stated in Clause 4(2), the following evidentiary documentation shall be submitted as well