directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business undertaking and details of asset appraisal Attachment 5: Unabridged
/ 18-2 Application for Establishment of Branch Office or Conversion of Online Branch Office to Full Branch Office Securities company / derivatives intermediary Name of Company
-General Office of the Securities and Exchange Commission In support of the application for approval of the Office of the Securities and Exchange Commission submitted by ………[FULL NAME OF APPLICANT
this application. b. Please mark an X in the appropriate box corresponding to your answer c. Send complete and signed form to Accounting Supervision Department The Securities and Exchange Commission
, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who
Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS full [ ] 1. Fund Fact Sheet/ Product Highlight Sheet (Part I) [ ] [ ] 2. Key
Thailand. Part III Certification of Information Accuracy Dated this _______ day of __________ 20____ . Signature: ________________________________ _________________________________________ (full name
_________________________________________ (full name) _________________________________________ (company) (* The registration statement shall be signed either by a CIS Operator or an authorised person of the CIS Operator. The person who
Home Jurisdiction: ___________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by Qualifying CIS Operator ) [ ] 2.* Standard letter issued by the Home Regulator to a
: ............................................................................... 8. Performing of audit work ( Full-time time used for performing audit work per week ........................ hour(s) ( Non-full-time time used for performing audit work per week