assistance and support to enable the SEC Office to complete the actions thoroughly, and the SEC Office shall coordinate and notify the official receiver of the said actions before the official receiver shall

of the Office, the determination of salary and other remuneration as well as welfare and assistance; (5) any other activities to be implemented according to the objectives of this Act. All rules

fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a

Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify criteria of acceptable index ( please

them are managed by the same mutual fund management company , which is prohibited by section 126(3) of the Securities and Exchange Act B.E. 2535 (1992) ; and (3) be according to conditions as prescribed

investment units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause

insurance company; (9) mutual fund; (10) private fund managed by a securities company for the investment of ultra-high net worth investors, high net worth investors or investors under (1) to (9) or (11) to

the units of a mutual fund managed in accordance with (1) of Paragraph 1 of Clause 11 and the disposal of the units invested in accordance with Paragraph 2 of Clause 11 shall be kept in a ready manner

_____________________________________________________ ________________________________________________________________________ 16) Number of years the CIS Operator has managed funds : _________________ Total assets under management (latest available

managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any