Certification of audit firm leader Date……..Month………….Year………… Dear Secretary – General of the Securities and Exchange Commission I, Mr./Mrs./Miss………………………………………………….… (leader’s name), the leader of
SEC’s website. Signature of the applicant is required. (4) Certification of audit firm’s leader. Signature of audit firm’s leader is required. (5) Form 61-2F Certification and consensus of audit firm in
of Thailand (SEC). I, the leader and authorized director of ……………………………………….……... (name of the audit firm), hereby certify and consent as follows; 1. I certify that the audit firm has audit quality
manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 4. Certification of Leader of Audit Firm Date ........ Month ............ Year.......... To: Secretary-General Office of the
chief executive of the intermediary ; (3) a complete and updated evidentiary documentation of the operational function outsourced to the service provider shall be maintained in such a ready manner for
): ................................................................. (..............................................................) Leader of the Audit Firm: ........................................... (Signature
public accountant 2. Applicant’s biodata and details 3. Certification from the leader of the audit firm 4. The audit firm’s information and relevant details 5. The audit firm’s certification and consensus
and facsimile numbers of other references such as securities registrar, representative of debenture holder, auditor, legal advisor, advisor or manager under the management agreement. 6.2 Significant
approved by the chief executive responsible for the line of work related to capital market of the intermediary . The investment guidelines of the intermediary shall have at least the following details: (1