number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock
, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of
copy is required. (7) Photocopy of an evidence of certified public accountant. Signature of the applicant to certify true copy is required. (8) Photocopy of an evidence of registration as an auditor with
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
the Securities and Exchange Commission, Thailand of our intention to offer the ARFP Passport Fund to the public in Thailand. In this regard, I/we have completed the application form and enclosed all
and ultimate controlling persons, is adequately disclosed to the public; (2) the client is a financial institution or a CIS under supervision of a regulator whose regulatory and oversight regime in
. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives
(MMOU), or a regulatory agency on securities or derivatives which has already signed memorandum of understanding (MOU) with the SEC Office, which the MOU contains the mutual assistance not less than as
The SEC and the SEC Office shall issue a notification to the general public stipulating the period for consideration and making of order with respect to the issuance of license and granting of approval
; (c) information security system to prevent unauthorized and unrelated persons from accessing or amending information as well as from accessing non-public information between the service provider’s unit