Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification

operating fund supervisor business, at least the followings, are or will be at the ready: (a) Systems for separating mutual funds’ assets from those of the fund supervisor’s, for attending and safekeeping of

: Clause 1. In this Notification: “Custodian agent” means the person whom the custodian appoints to be its agent in performing the duties relating to custody the assets of private fund; “Office” means the

reference. 11 Notification of the Capital Market Supervisory Board No. TorThor. 43/2552 Re: Custody of Clients’ Assets by Securities Companies _________________ By virtue of Section 16/6 of the Securities and

be conducted justifiably, the liquidator, the management company, and the fund supervisor shall together determine an appropriate proceeding for such assets by taking into account the mutual fund’s

of Securities and Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2 . In this Notification: “Fund supervisor” means the mutual

person particular in engaging into transaction concerning with property or rental property right for property fund: (a) Mutual fund supervisor; (b) Assets assessment company appointed by management company

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

.: _________________________ Part E: Custody of Assets Same as Trustee/Fund Supervisor No [if “No”, please provide further information below] 23) Name of Custodian

3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit