Unlisted Index Fund Passively Managed Index Tracking Exchange-Traded Fund (ETF) Any other type, please specify ____________________________________________ 4) Is the Hong Kong Covered Fund a sub-fund of an
_____________________________________________________ ________________________________________________________________________ 15) Number of years the CIS Operator has managed funds : _________________ Total assets under management (latest available
specify _____________________________________________________ ________________________________________________________________________ 16) Number of years the CIS Operator has managed funds
Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the
foreign ETF comply with the Notification of the Capital Market Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund
debt securities, highlight the riskiness of securities on the cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt
January 2016. Clause 4 In case an intermediary being [i] financial institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of
institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of Finance’s purview has already had independent director in accordance with
derivatives fund managers being a financial institution regulated by other agencies; “electronic data” means data that are created, sent , received, stored or processed through electronic procedures