. has he/she been appointed as a director or to a key management position at the client? (d) If not a partner – were they a former member of the engagement team within the last two years and have they
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
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
........................................................... 1. ข้อมูลตำแหน่งที่ปฏิบัติงาน ( กรรมการ ( ผู้บริหาร ( ผู้มีอำนาจควบคุมกิจการ 2. ข้อมูลทั่วไปของเจ้าของประวัติ 2.1 ชื่อ ชื่อสกุล First name Last name ชื่อ-ชื่อสกุลเดิม (ถ้ามี) Former name (if any) 2.2
handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC
resigns, the former trustee shall perform its duties until the trust property is completely vested in a new trustee; (2) in cases where the trustee is dissolved or liquidated or suspended from its
complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress
Thai) : Title First Name Last name First name / Last name (in English) : Title First Name Last name Former First name / Last name (if any) (in Thai) Title First Name Last name Date of Change Former First