Checklist for Foreign Exchange-Traded Fund (ETF) Application Form Name of foreign ETF: ________________________________________________________ Home Economy

involved with the audit of an entity whose securities are publicly traded in stock exchange in your jurisdiction as either Signing Partner or Engagement Partner or equivalence? Yes No If yes, please attach

engages in proprietary trading shall determine policies, rules and procedures for such matter in accordance with Clause 12(1) of the Notification on Standard Conduct of Business clearly in writing upon

restrictions and other relevant matters have been already clearly specified in details of the scheme, the derivatives fund manager shall be exempted from compliance with the first paragraph if the mutual fund

operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities

trading for the client on time priority basis unless the order of the client clearly specifies the condition of trading otherwise. The securities company shall give priority to the benefit of the client

, objectives and operational procedure clearly, thoroughly and obviously; (2) determining [i] organizational structure and [ii] roles, powers, duties and responsibilities of directors, executives and other

Securities ____________________ Clause 16 In this Division, “ listed securities ” means securities which have been listed or approved to be traded on the Stock Exchange of Thailand. Clause 17 For the purpose

relation to the business group of the major shareholder. If the business structures of the Company or its group of companies call for substantial competition, demonstrate clearly how the Company protects the

cover at least the following managements and systems: (1) determining strategies, policies, objectives and operational procedure clearly, thoroughly and obviously; (2)3 determining organization structure