system provided on the Office’s website. Clause 22/2 The information on the offering distributed through an advertisement shall be correct and not misleading. In this regard, the management company shall

given permission to establish and manage mutual fund, but not yet offering to sell investment units to public prior to this notification become effective, or in the case where the mutual fund management

subscribers within a reasonable period. Clause 5. Regarding the registration of a pool of assets as a mutual fund, the management company must provide details of the results of the offering of investment units

reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________

Law; (2) investment units are offered for sale while the mutual fund management company fails to comply or ensure compliance with the rules related to offering for sale of investment units of retail

Re: Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) and Section

of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply

and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) of the Securities and Exchange

Procedures for the1 Establishment and Management of Mutual Funds dated 16 December 1998 and Section 109 of the Securities and Exchange Act B.E. 2535 (1992) and Clause 1(3) of the Notification of the Securities

: _____________________________________________ Name of Hong Kong Covered Management Company: ___________________________________________________________________________ [ ] 1. Form 69 – CIS full (completed by Hong Kong Covered Management Company