. She also shared insights and experiences in fostering regional collaboration among regulatory entities to enhance the effectiveness of digital asset oversight. The seminar took place on 10 December 2024

management, compliance, and internal audit based on the principles of the Three Lines of Defense to ensure the effectiveness of securities company oversight and to further promote recognition of the

situation and evaluate the effectiveness of these implemented measures in due course.”

Checklist for ASEAN CIS Application Form Name of ASEAN CIS: ________________________________________________________ Name of Qualifying CIS Operator: ______________________________________________

Page 1 of 4 Form 35 – retail ASEAN CIS Checklist for ASEAN CIS Application Form Name of ASEAN CIS: ________________________________________________________ Name of Qualifying CIS Operator

the Bankruptcy Act B.E. 2483 (1940). The second MOA is for cooperation in establishing an enterprise architecture. Both MOAs aim to promote efficiency and effectiveness of duty performance of both

MergedFile Page 1 of 8 Form 35 – NRI CIS Checklist for NRI CIS Application Form Name of NRI CIS: ________________________________________________________ Name of CIS Operator

: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that foreign ETF is legally

: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full (completed by CIS Operator) [ ] 2. Evidence demonstrating that foreign ETF is legally

issues the following regulations: Clause 1 In this Notification: The terms, “collective investment schemes,” “units of collective investment schemes,” and “CIS operator” shall have the same meanings as