(issued by CIS Operator) [ ] 6. A document demonstrating that the investment policy and product restrictions of NRI CIS are in accordance with those specified by the Notification of the SEC Thailand related

e-service Online Submission Securities Borrowing and Lending >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange

e-service Online Submission Business Operation Rules >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   37/2540

e-service Online Submission Business Operation Rules >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   37/2540

e-service Online Submission Business Operation Rules >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   37/2540

e-service Online Submission Derivatives Dealer >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   9/2549    01/03/2006

the SEC and the exploration of applying these guidelines to enhance the OIC’s technology risk control supervision over regulated business operators. The event took place on 26 June 2024 at the SEC

e-service Online Submission Executives of securities companies and personnel in securities business >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the

e-service Online Submission Executives of securities companies and personnel in securities business >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the

e-service Online Submission Executives of securities companies and personnel in securities business >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the