) wish to be approved as a foreign auditor in the capital market under the Notification of the Office of the Securities and Exchange Commission No. SorShor 30/2558 dated 9 April 2015 Re: Approval of
pledged with the fund’s counter parties; Transferring of money or assets for other objectives other than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). 3
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
has been authorized, approved or registered as advisor under the Notification No. OrNor. 2/2545, securities investment analyst under the Notification No. SorKhor. 25/2547, marketing officer under the
Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the
of Thailand (SEC). I, the leader and authorized director of ……………………………………….……... (name of the audit firm), hereby certify and consent as follows; 1. I certify that the audit firm has audit quality
): ................................................................. (...............................................................) Authorized Person Binding the Audit Firm: ............................... Remark Audit firm’s leader and audit firm’s authorized person to affix binding signature shall affix signature together with audit
investors and specify additional assumption if applicable. In this regard, an auditor approved by the SEC shall be appointed to audit and give an opinion or show confidence in such consociated financial
Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the