apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F Application for registration as a foreign auditor in the capital market. Signature of the applicant is required. (2) Applicant’s personal
. · Indications that the client might be involved in any criminal activities. · The reasons for the proposed appointment of the firm and nonreappointment of the previous firm. · The identity and business reputation
arrange for the customer to borrow securities only from or through the central securities depository, provided that the reasons of necessity prescribed by a Notification of the Office has been given. Clause
extending the liquidation period indicating the reasons for such request. The Office may grant a waiver on the liquidation period and may order the liquidator to undertake any specific actions to accelerate
any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as appropriate within the
SEC Office. (Reasons for seeking an exemption are required for the SEC Office's consideration). 4.5 Having not been accused of or subject to criminal proceeding, whether under Thai or foreign laws
derivatives position before the settlement date, whether due to market lack of liquidity or the derivatives exchange withholds the futures trading or due to any other reasons, the investor may lose from the
end of his employment for whatever reasons, such employee shall be entitled to maintain the whole amount of the benefits he is entitled to receive within the fund as well as his membership. Such
Notification to the SEC Office within the specified period, the offeror may request a waiver in written form to the SEC Office before the expiration of the submission period by demonstrating reasons for request
Securities and Exchange Commission Remarks : The reasons for issuing this Notification are: whereas the fund management shall be activities which is trusted and confided by the investors, it is therefore