. During the period that an auditor of the audit firm has been registered with the SEC, I certify that the audit firm will regularly review and maintain the audit quality control system to comply with ISQC1
Auditors and will perform my work in accordance with such Acts and Notification. I fully realize that in case I fail to comply with the Securities and Exchange Act B.E.2535 (1992) , the Trust for
respective local market could apply for an expedited review process if it intends to invest in a master fund that meets the requirements set out in the SFC and SEC Circular (“MRF-eligible master fund
, Thailand Re: Application to offer ARFP Passport Fund publicly in Thailand I/We _________________________________________________ as an operator of _____________________________________________ hereby notify
submit the information on a short notice, the Office may not accept the course and the organizer will not be able to advertise the course as an accepted course for the renewal of approval for investor
. Additionally, the firm consents to audit quality inspection carrying out by inspectors of the SEC Office; 2. I certify that if an auditor of the audit firm has been registered with the SEC Office, the audit firm
: Secretary-General Securities and Exchange Commission, Thailand Re: Application to offer Hong Kong Covered Fund publicly in Thailand I/We _________________________________________________ as an operator of
substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application
and Exchange Commission, Thailand Re: Application to offer ASEAN CIS publicly in Thailand I/We _________________________________________________ as an operator of
securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the