control and information technology security as specified in the notification of the SEC Office. Clause 8. Derivatives broker shall arrange to have independent director of at least one out of four directors

under management of the same management company which is prohibited in accordance with section 126(3); Engaging into transaction under paragraph one, management company shall provide documents and

Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS material update [ ] 1. The Update Statements [ ] Any documents relevant to

established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the

derivatives brokerage business shall be a limited company or pubic limited company which is newly established to obtain the license for such business and in which one or several gold business operators

disclosed, the unitholders shall be entitled to claim damages from the CIS operator pursuant to section 82 of the Securities and Exchange Act B.E. 2535 (1992) within one year from the date on which the fact

to section 82 of the Securities and Exchange Act B.E. 2535 (1992) within one year from the date on which the fact that the registration statement contained false information becomes known or should

: [ ] [ ] · Bank draft / Corporate cheque / Cash · Receipt of money transfer [ ] 10. Other supporting documents (please specify) _________________________________________________ Please print this checklist and

dispute for which each claimant seeks compensation not exceeding one million baht, and (3) In case of the dispute arising from the providing of securities business services, or the failure to comply with

of interest. In the case where an executive holds a position required to work on a full-time basis, the executive shall take such position at only one securities company. Clause 3. In applying for