แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary
……................ working for ……..(NAME OF AUDIT FIRM)......, wish to apply for an approval of the SEC Office to be an auditor of businesses under the Securities and Exchange Act B.E. 2535 (1992) and the Trust for
securities, the Notification of the Capital Market Supervisory Board regarding establishment and management of collective investment schemes and Sections 59 of the Trust for Transactions in Capital Market Act
UNOFFICIAL TRANSLATION Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and Exchange
(UNOFFICIAL TRANSLATION) (Updated 2015) 4. Certification of Leader of Audit Firm Date ........ Month ............ Year.......... To: Secretary-General Office of the Securities and Exchange Commission
แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and
Establishment and Management of Collective Investment Schemes and Section 59 of the Trust for Transactions in Capital Market Act B. E. 2550 (2007) stipulate that the auditor who affixes signature in the auditor’s
firm” means a securities company having obtained securities brokerage license [under the Securities and Exchange Act B.E. 2535 (1992)]. 3 Chapter 2 Offering for Sale Regarding Units of Foreign Collective
firm” means a securities company having obtained securities brokerage license [under the Securities and Exchange Act B.E. 2535 (1992)]. 3 Chapter 2 Offering for Sale Regarding Units of Foreign Collective
Office to visit and inspect the audit firm with which the applicant is affiliated or any other establishment necessary for the consideration of the application for approval, the applicant shall be