firm to perform duty as local intermediary in Thailand ( issued by Qualifying CIS Operator ) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the Qualifying CIS

Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand ( issued by CIS Operator ) [ ] 4

and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer

(SET order ID) / เลขที่บัญชีซื้อขายหลักทรัพย์ (account ID) / วันและเวลาในการส่งคำสั่งซื้อขายหลักทรัพย์ (yyyy/mm/dd - hh:mm:ss:sss) / หมายเลข Public และ Local IP address ต้นทาง (source) / หมายเลข IP

prescribed in the Notification of Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . In order to adhere to the principles, the intermediary

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

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall

is adequate to personnel and the undertaking of business. Chapter 3 Fund Management Operation System 3.1 Accepting of Purchase or Redemption Order of Investment Units Objective A management company

case of foreign ETF established as trust [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator ( issued by CIS Operator ) [ ] 5. Evidence on the

established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand ( issued by