March 2020. ______________________Notes: *  Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital

failure to perform duties or give services with loyalty, responsibility and deliberation as a professional in contravention to the Notification of the Capital Market Supervisory Board.* SEC has therefore

Page 1 of 7 Form 35 – foreign ETF Checklist for Foreign Exchange-Traded Fund (ETF) Application Form Name of foreign ETF: ________________________________________________________ Home Economy

derivatives position before the settlement date, whether due to market lack of liquidity or the derivatives exchange withholds the futures trading or due to any other reasons, the investor may lose from the

close out the derivatives position before the settlement date, whether due to market lack of liquidity or the derivatives exchange withholds the futures trading or due to any other reasons, the investor

close out derivatives position If an investor is unable to close out the derivatives position before the settlement date, whether due to market lack of liquidity or the derivatives exchange withholds the

tick where applicable ): The index is recognized by a member of the World Federation of Exchange and the index constituents are eligible assets according to the Notification of the Capital Market

the Acquisition and Disposition of Assets as stipulated in the Notification of the Stock Exchange of Thailand and the Notification of the Capital Market Supervisory Commission. Propose to authorized the

, 2019, which is a company that assess the value of assets in the capital market that has been approved by the Securities and Exchange Commission According to the Notification of the Securities and

Market Supervisory Board No. Tor Thor. 30/2559 Re: Rules for Operation of Derivatives Exchange By virtue of Section 55 and Section 73 of the Derivatives Act B.E. 2546 (2003), the Capital Market Supervisory