. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One

” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian

registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business

securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of

plans for the clients as well; (9) “ financial institution ” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution

well; (9) “ financial institution ” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution business ; (b) financial

on securities and exchange(SC); □ A life insurance company under the law on life insurance business; □ A financial institution established under specific law according to the Notification of the

reference. FORM 56-1 Annual Registration Statement For the financial year ending DATE MONTH YEAR Company: ............................................................................................... Note

which objectives is for promoting and supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “ financial institution ” means

promoting and supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securiites and Exchange Commission. “ financial institution ” means a financial institution