) Secretary-General Office of the Securities and Exchange Commission . Original proposed guideline Comment/question From company The SEC Office’s comment Backup and IT Contingency Plan. Preparing readiness in

of each mutual fund, together with sufficient description thereof illustrating the distinctive nature of each mutual fund and the value of the pool of assets. Should there be any change in such

.: _________________________ (please use an enclosure if there is more than one participating dealer) Part E: Representative of the CIS Operator 19) Name of proposed representative in Thailand

or person who is proposed to be an executive or person with power of control of a company or subsidiary: O yes (please specify in detail) name……………………relationship……………………... O being an executive of the

” means any person who is designated by the derivatives fund manager to be an agent to solicit investors, together with proposed investment plans, to enter into a contract with the derivatives fund manager

.: _________________________ Representative 18) Name of proposed representative in Thailand: _______________________________________________________________________ 19) Is such representative regulated by or acceptable to the

support the offerings of Hong Kong funds, including Exchange Traded Fund (ETF), in Thailand. In this regard, the SEC plans to conduct a public hearing on the proposed revisions and will clarify the

proposed to the client ; (3) channel for providing [or accessing to] the service and for communication; (4) rights, duties, liabilities and conditions in part of the client , or an obligation binding the

and participating dealer of ETF in the fields provided above. Representative 18) Name of proposed representative in Thailand: _______________________________________________________________________ 19

, please state the names of market maker and participating dealer in the fields provided above. Hong Kong Covered Management Company’s Local Representative 14) Name of proposed representative in Thailand