granting of an approval under this Section shall be in accordance with the rules, conditions and procedures, and subject to the payment of fees, as specified in the ministerial regulations.

and Exchange Commission No. Kor Yor. 4/2547 Re: Prescribing Contracts that Are Not Subject to The Derivatives Act B.E. 2546 (2003) ______________________ By virtue of Section 4(3) and Section 9 of the

of the fourth paragraph or the fifth paragraph shall be subject to revocation by the Office of the approval given for such auditor. (As amended by Section 6 of the Securities and Exchange Act (No.2

for Establishing Branch Offices of Intermediaries dated 26 June 2013). Details Yes No 4.1 Maintenance of net capital or shareholders' equity: (a) In case of intermediary subject to the net capital rules

activity accepted by the Office A minimum of 3 hours per course or seminar A minimum of 1 hour of lecturing per subject Hours accumulation 1. Breaks will not be counted except breaks of 15 minutes or less 2

. Yes No If “No”, please specify __________________________________________________ _____________________________________________________________________ 2. I/We am/are not currently being subject to any

: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify

keeping documents and evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the Office, and arrange to

underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of the securities company or its client during placing short selling order, in case of short selling by means of entering

__________________________________________________ _____________________________________________________________________ 2. I/We am/are not currently being subject to any suspension or revocation order or action by Home Regulator regarding the