personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage
Office of the SEC regarding Approval of Auditors , from....(date)……. until ....(date)……, I hereby wish to inform the change of the audit firm to which I am attached, from …….…(name of the former audit firm
intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage to the client
……................ 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
or the law on securities and exchange, as the case may be, and the regulations issued by virtue of the said laws. Clause 3 This Notification shall govern the segregation and management of the assets of
) wish to be approved as a foreign auditor in the capital market under the Notification of the Office of the Securities and Exchange Commission No. SorShor 30/2558 dated 9 April 2015 Re: Approval of
have duty to file the reports under (2) or (3) with the Office shall file such reports even though there is no transaction during such period. Clause 3/1 . In case where securities companies wish to file
business days to the SEC Office. In this regard, unless specified otherwise by the SEC Office. Clause 6. In case where a securities company wish to file the report of net liquid capital calculation to the
wish to invest in or dispose of real estate or leasehold right of related person for the property fund, the mutual fund management company shall fulfill the conditions specified in Clause15/1 and Clause
intent made in writing that he or she does not wish an intermediary to implement methods and procedures complying with the details in this Chapter; (3) investor or client who uses services related to