to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely
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
. Audit experience of the applicant (1) Total audit experience: ..................year(s) (1.1) Since................(DATE)..................to............................(DATE
, economic and political risk as well as regional risk of the countries in which they have invested. Since the aforesaid risks may affect the financial status of the securities company, it is deemed necessary
may not be able to execute some types of orders, such as ‘stop-loss’ or ‘stop-limit’ orders, placed by the Client to limit his/her losses, since market conditions at the time the order is placed may
juristic person established under foreign law as specified in Clause 4 (3) shall have shareholders’ equity not less than fifty million dollars or at equivalent since 1 August 2015. Chapter 4 Effective Date
Constitution of the Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission acting as the Capital Market Supervisory Board by virtue of Section 6 of the Derivatives Act (No.2) B.E
name / Last name (if any) (in English) Title First Name Last name Date of Change (Please specify all information on change of first name / last name since becoming sui juris and attach documents
should be, since the intermediary also receives the interest as a result of such service or of the outcome of a transaction carried out on behalf of the client , or [ii] providing inappropriate services to
Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities That Are Not Debt Instruments dated 26 September 2000, as amended by the