preferred stock or depository receipt (DR). Convertible Securities: warrant or convertible debenture or other securitiesconvertible to stock. In case of group report, disclose the changes in the holding of

result in an inability to acquire the benefits to Company and for shareholders as when the investment was previously approved. In such case, it is viewed that the Company shall terminate or sell the

section, which comprises the fund scheme and commitments between unitholders and the management company as approved by the SEC Office; (3) the certification section. In the case of a prospectus for offer

case my application is incomplete and the SEC Office has already informed such incompleteness by e-mail, it is deemed that I entirely assent to such informed incompleteness as well as the period of time

local representative: Name of local intermediary:[in case of an ETF, please state the names of market maker and participating dealer of ETF] Warnings: An investor considering the purchase of units of

operator: Name of local representative: Name of local intermediary: [in case of an ETF, please state the names of market maker and participating dealer of ETF] Warnings: An investor considering the purchase

Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors

: 1. I/We am/are under supervision of Home Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which

Commission, guidelines, orders and circulars issued or providing guidelines in accordance with the aforementioned Notification in case of investment of unitholders in host jurisdiction who are not Thai

client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is https://publish.sec.or.th/nrs/6086pe.doc บท