Checklist for NRI CIS Application Form Name of NRI CIS: ________________________________________________________ Name of CIS Operator: _____________________________________________________ Home

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

Distribution of Newly Issued Shares and Share Warrants by Issuer

Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer (No. 2)

Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer

Re: Registration of Licensed Derivatives Business Operator in the Category of Derivatives Fund Manager

Registration of Derivatives Business Operator In the Category of Derivatives Advisor

Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer

experience, financial status or income, (2) CIS operator must be subject to supervision of ASEAN capital market regulator which is a member of International Organization of Securities Commissions (IOSCO) and

operator must appoint licensed securities broker as selling agent and (4) selling agent must comply with specified criteria including distribution of offering circular (fact sheet) prepared in Thai. The