, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk management for business continuity of intermediary pursuant to this

to amend the granting of approval of directors or managers of securities companies for promptness to better meet the requirements of business sectors while maintaining the protection of investors from

___________________________________________________________________________ Remark: The rationale for issuing this Notification is to repeal requirements related to appointment of a manager of full-service branch office and requiring securities company arrange to have

with the Home Regulator does not contain the information specified in the registration statement listed above and other disclosure requirements stipulated by the SEC Thailand. Part III Certification of

statement listed above and other disclosure requirements stipulated by the SEC Thailand. Page 5 of 5 Form 69 – CIS full Part III Certification of Information Accuracy Dated this _______ day of __________

approved by, registered, or filed with the Home Regulator does not contain the information specified in the registration statement listed above and other disclosure requirements stipulated by the SEC

disclosure requirements stipulated by the SEC Thailand. Page 5 of 5 Form 69 – CIS annually update Part III Certification of Information Accuracy Dated this _______ day of __________ 20____ . Signature

_____________________________________________________________________ 5. I/We affirm that the ASEAN CIS is completely in compliance with Part I : Qualifications of the CIS Operator, Trustee/ Fund Supervisor, and requirements relating to Approval, Valuation, and

5. I/We affirm that the ASEAN CIS is completely in compliance with Part I : Qualifications of the CIS Operator, Trustee/ Fund Supervisor, and requirements relating to Approval, Valuation, and

, with the key points as follows:   (1) Revising the qualification requirements imposed on applicants for listing on SET and the mai (Market for Alternative Investment) whereby the criteria for considering