mutual fund with the Office; (6) transferring ownership of any remaining assets to the Office; (7) undertaking any other actions as deemed necessary for the completion of the liquidation; The liquidator

application. b. Please mark an X in the appropriate box corresponding to your answer c. Send completed and signed forms to - Accounting Supervision Department The Securities and Exchange Commission, Thailand

accordance with the second paragraph shall be completed within three months from the end of each accounting period. For each financial year, such preparation shall be completed within twenty-one days from the

the financial statements for the first six months of the financial year shall be completed within three months from the end of each accounting period, while the financial statements for each financial

impact on the clearing system. Please be informed that the SEC Office has now completed the One-For-All- Reporting System (OFAR) as a new channel for submitting the daily status report in replacement of

Home Jurisdiction: ___________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by Qualifying CIS Operator ) [ ] 2.* Standard letter issued by the Home Regulator to a

of the SEC Office □ Supporting document items are completed. □ Supporting documents items are not completed, and shall request for additional supplementary document as follows; 1

transactions executed on behalf of the customer from the time when the order is taken until the transaction is completed; (2) evidence confirming derivatives trading transaction conducted by the customer

and executing of customer’s derivatives trading order, containing at least the details of transactions executed by it for the customer from the time the order is taken until the transaction is completed

: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that foreign ETF is legally