Checklist for ASEAN CIS Application Form Name of ASEAN CIS: ________________________________________________________ Name of Qualifying CIS Operator: ______________________________________________

: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that foreign ETF is legally

Checklist for NRI CIS Application Form Name of NRI CIS: ________________________________________________________ Name of CIS Operator: _____________________________________________________ Home

, as the case may be. “ support system provider ”4 means a person approved to be a support system provider under the notification concerning support system provider . “ support system ”4 means support

Checklist for Asia Region Funds Passport (ARFP) CIS Application Form Name of ARFP Passport Fund: _________________________________________________ Name of CIS Operator

assistance and support to enable the SEC Office to complete the actions thoroughly, and the SEC Office shall coordinate and notify the official receiver of the said actions before the official receiver shall

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a Derivatives Business Operator _________ Whereas Section 24 of the Derivatives Act B.E. 2546 (2003) and Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 37