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

: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Part F: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the authority

____________________________________________________________________ If “No”, please specify the expected date of such public offer: ________________________________________________________________________ 7) Are the requirements for the offers of the Hong Kong

offer: ________________________________________________________________________ 7) Are the requirements for the offers of the Hong Kong Covered Fund in Hong Kong satisfied those stipulated in Appendix B

Bangkok, January 15, 2014 ? The SEC is seeking public comment on proposed revision to the rules of capital requirements for securities and derivatives investment advisors (IA) as well as brokers

Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel