opinion · 2 . Qualified opinion due to (can choose more than one): ( 2.1 Misstatements that are material, but not pervasive, resulting from: ( 2.1.1 selection of an inappropriate accounting policy

5.3 Number of investment consultants (if any): ...... Person(s) 5.4 Back office operation Located at a full branch office Sharing resources with a full branch office Located at

list or having an appraisal permission from the regulator of the jurisdiction wherein the asset is located; (b) in the absence of a list pursuant to (a) (a), the asset appraiser shall have any of the

and derivatives business operators located in Narathiwat, Pattani, Yala, Satun and Songkhla provinces shall include Chinese New Year as well as Hari Raya Puasa (Aidilfitri Day) and Hari Raya Haji as

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

subsidiaries in the attachment as well. In the case where the subsidiary operating the core business is located in a foreign country, identify which director of the subsidiary is domiciled in Thailand. There

: Contact person: Email: Name of local intermediary:[in case of an ETF, please state the names of market maker and participating dealer of ETF] Contact person: Email: * Please choose the following form that

have been known, but not exceeding 2 years from the effective date of registration statement. Please choose the following form that has been lately submitted and effective: ( Form 69 – CIS full

in the contract is paid to the buyer. 2.2 Risk of Loss from Options Trading A buyer of options may choose to offset his position or exercise the options or can simply allow the options to lapse. If the

, duties and responsibilities of the unit where a person is located; (d) detailed work practices of each person and the unit where the person is located, as well as work practices in coordinating with other