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

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

_____________________________________________________ ________________________________________________________________________ 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

and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.

possible) General Equity Fund Bond Fund Mixed Fund Feeder Fund Unlisted Index Fund Passively Managed Index Tracking Exchange-Traded Fund (ETF) Any other type, please specify

provisions of the first paragraph shall not apply to the assets or persons as follows: (1) client’s assets which is a mutual fund, private fund or other similar funds managed by a securities company, acting as

records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records previously obtained. In this regard, the

personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature

procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to choose a service or make an