, Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok 10900, Thailand Tel. +66 1207 or +66 2695 9587 Fax. +66 2695 9793 e-mail : oca@sec.or.th 1. Applicant details Mr. Miss Mrs. Other (please

333/3 Vibhavadi-Rangsit Road, Chomphon , Chatuchak Bangkok 10900, Thailand Tel. +66 1207 or +66 2695 9587 Fax. +66 2695 9793 e-mail: oca@sec.or.th 1. Applicant details Mr. Miss Mrs. Other (please

fund with the same investment policy, the securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 6. For an advertisement related to a

…………................................................................. …………………………….......................................................................... telephone number…………………….. facsimile number ………………………… 2. Details for supplementing the consideration: 2.1 A license granted by the authorized organization or agency under the law (only in the case of a CB

estimated return does not include unitholders’ capital; (5) details of the fund’s investment under (1)(a) shall be disclosed, of which at least the following particulars, which are the same as those contained

subscribers within a reasonable period. Clause 5. Regarding the registration of a pool of assets as a mutual fund, the management company must provide details of the results of the offering of investment units

Business , an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or

Notification on Standard Conduct of Business , an intermediary shall operate a system for communicating with and providing services to clients pursuant to the details in this Chapter. Clause 5/2 The provisions

of this Notification are as follows: (1) undertaking business professionally, as specified in details in Chapter 2; (2) management arrangement and operating systems, as specified in details in Chapter

The details of the Guidelines under the first paragraph of Clause 1 are described in the Appendix attached hereto, which contains the following matters: (1) Chapter 1: Governance of Enterprise IT (2