-2 / 18-3 Application for Establishing Representative Office Abroad Securities Company / Derivatives Intermediary Name of Company

. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator ( issued by CIS Operator ) [ ] 5. Evidence on the appointment of an authorised person of CIS Operator ( issued

representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of

” means a securities company licensed to undertake securities business in the category of private fund management; “Marketing Representative of Private Funds” means a person appointed by a private fund

appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company) [ ] 4. Evidence on the appointment of a local representative in Thailand as

for Establishing Branch Offices of Intermediaries dated 26 June 2013). Details Yes No 4.1 Maintenance of net capital or shareholders' equity: (a) In case of intermediary subject to the net capital rules

Commission Notification of the Securities and Exchange Commission No. SorThor. 23/2549 Re: Calculation and Report of Net Liquid Capital Calculation _____________ By virtue of Section 109 of the Securities and

Notification: (1) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management

) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private

------------------------------ The Securities and Exchange Commission Notification of the Securities and Exchange Commission No. SorThor. 24/2550 Re: Calculation and Report of Net Liquid Capital Calculation (No. 2) _____________ By