statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of

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

derivatives dealer , the derivatives dealer shall engage as a counter party in derivatives trading solely with the following clients: (1) institutional investors (2) other juristic persons who trade in

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

of advice is solely a part of or an incidental to the conduct of business as a derivatives broker or a derivatives dealer, or any other persons who give advice in a manner as specified in the

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

characteristics indicating untrustworthiness ; 2. Listing of my name onto the Issuing Company’s Director and Executive Database destines solely for the purpose of consideration on the issuing company’s

by the intermediary . Clause 10 In case of doubt whether or not the assets segregated and managed by the SEC Office are clients’ assets , the SEC Office shall settle such assets with the official

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

agreed by the parties. The arbitrator shall determine whether to hold hearings or to take verbal or written assertion, or whether the proceeding shall be conducted solely upon the basis of documents or any