whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

have the power to specify in its notification the rules with which derivatives business operators shall comply.

Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and

to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely

specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.

indicating such change) 1.2 Type of Card [ ] Identification Card [ ] Passport (only for non-Thai national who does not have an identification card or does not know identification number) Card Number : Expiry

_____________________________________________ hereby notify the Securities and Exchange Commission, Thailand of our intention to offer the ASEAN CIS to the public in Thailand. In this regard, I/we have completed the application form and

Exchange Commission: As I, …….….(name)………………, a certified public accountant No….…..., have been approved by the SEC Office to be an auditor of the business specified in Clause 3 of the Notification of the

Information This part contains registration statement and prospectus as follows: (A) The registration statement shall have at least the following information: 1.1 Investment objective / policy 1.2 Capital of

Part II Key Information This part contains registration statement and prospectus as follows: (A) The registration statement shall have at least the following information: 1.1 Investment objective