regulations: Clause 1. In this Notification: “derivatives business operator” means a juristic person licensed to undertake derivatives business in the category of derivatives broker or derivatives fund manager
reference. PAGE 4 Notification of the Capital Market Supervisory Board No. Tor Nor. 89/2558 Re: Rules for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional
certified public accountant No.………………..., working with ………….(name of the audit firm)…………., hereby certify as follows: 1. My immediate family members, including spouse and minor children, and I do not hold any
securities company licensed to undertake securities business in the category of mutual fund management. “Open-end fund” means a mutual fund which accepts the redemption of investment units, established and
. The financial statements under the first paragraph shall be prepared under the criteria as specified in the notification of the SEC and shall be audited with an opinion rendered thereon by a certified
I, Mr./Mrs./Miss ………………………. ……(applicant’s name), certified public accountant number ………………... working with ……………………………….(name of audit firm’s) an audit firm incorporated in …………………………………...…….. (name
: “Management company” means a securities company licensed to undertake securities business in the category of mutual fund management. “Closed-end fund” means a mutual fund which does not accept the redemption of
.: _________________________ 15) Is the CIS Operator currently licensed or authorised to conduct fund management in the jurisdiction of its principal place of business? Yes No If “No”, please specify
Exchange Commission: As I, …….….(name)………………, a certified public accountant No….…..., have been approved by the SEC Office to be an auditor of the business specified in Clause 3 of the Notification of the
the Securities and Exchange Commission I, Mr./Mrs./Ms..........................(FULL NAME) ........................................................................., a certified public accountant No