on Fund Management and Protective Rules dated 19 July 2006 shall be repealed and replaced by the following provision: “ Clause 15. After the initial investment, should a mutual fund management company

policy and risk management that may be related to money laundering of clients, and to undertake client due diligence upon initial transaction and periodical review until the account is closed or the

provisions of this Notification before the initial public offering of the investment units. Should the management company fail to effect such amendment before the offering of the investment units, the Office

reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________

fund management; “ big retail investor ” means a person who will make an initial minimum subscription of 500,000 baht for investment units of a mutual fund; “ fund manager ” means a mutual fund manager

: _____________________________________________ Name of Hong Kong Covered Management Company: ___________________________________________________________________________ [ ] 1. Form 69 – CIS full (completed by Hong Kong Covered Management Company

establishment of the fund during the period of the initial public offering, provided that it was disclosed in the prospectus so, the management company may terminate the offering. The management company shall

demonstrating a comparison between the laws and regulations of Home and Host regulators relating to management of NRI CIS ( issued by CIS Operator ) 9. A fee of THB100,000 (VAT exclusive) payable in the form of

: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ 15) Is the CIS Operator currently licensed or authorised to conduct fund management in the economy of its principal place of

Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to