business? Yes No If “No”, please specify ____________________________________________________ _______________________________________________________________________ 16) Number of years the CIS Operator has

Fund Any other type, please specify __________________________________________ 6) Is the NRI CIS a sub-fund of an umbrella fund? Yes No If “Yes”, please state the name of the umbrella fund

Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the

____________________________________________ 4) Is the Hong Kong Covered Fund a sub-fund of an authorised CIS? Yes No If “Yes”, please state the name of the authorised CIS

registered auditor under the audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact Person of the authority Business Address of the authority

, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange Commission No. KorNor

... 2 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No

Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and

in the firm Address City State Postcode Country E-mail address Telephone number Fax number Does your firm belong to an international network ? Yes No If yes, please state the – Name of the network

UNOFFICIAL TRANSLATION Codified up to No. 6 As of 24 April 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 4