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

minimum requirements for business operators and protect investors.?The SEC has also cooperated with the Bank of Thailand and the Office of Insurance Commission to build a supervisory linkage that ensures

investment research in compliance with ASCO guidelines as approved by the SEC. The guidelines will include the requirements that brokers must produce investment research to cover at least 30 securities; each

กำหนดด้านจรรยาบรรณที่เกี่ยวข้อง (Ethical requirements: ER) พบว่าสำนักงานสอบบัญชีบางแห่งปฏิบัติตามข้อกำหนดด้านจรรยาบรรณยังไม่เพียงพอและเหมาะสมหลายด้าน เช่น กระบวนการตรวจสอบความเป็นอิสระไม่เพียงพอ โดยพบ

restructuring and cost management as well as reserve requirements to comply with Liquidity Coverage Ratio (LCR) guidelines under Basel III. In terms of loan quality, the ratio of gross non-performing loan (NPL