Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . Division 3 Substance of provisions _____________________________ Clause 4 The requirements

resolution on any material matter, any party may file, through the Office, a motion requesting the arbitrator to additionally make a resolution on such matter within thirty days from the date on which such

, the securities company shall submit such financial statement via the securities company report transmission system in accordance with the rule of practice of the Office of the Securities and Exchange

borrower in accordance with the rule under Clause 9, and to process and report data on level of risks incurred in securities borrowing and lending to its executives in accordance with its internal guidelines

Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify criteria of acceptable index ( please

อนุมัติจัดตั้งมีลักษณะหรือรูปแบบเป็นไปตามหลักเกณฑ์ หรือเงื่อนไขที่จะได้รับอนุมัติตามประกาศนี้ แต่มีข้อเท็จจริงซึ่งทำให้พิจารณาได้ว่าความมุ่งหมาย หรือเนื้อหาสาระที่แท้จริง (substance) ของการจัดตั้งกองทุนรวม

client and the execution of transaction for client to prevent the use of fund management business as a vehicle for money laundering provided that the policy on such matter should be in accordance with the

requirement according to the principles of the Notification of the Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . Division 3 Substance of

of funds ; (3) the investment and income generating activities of funds ; (4) the administration and management of funds in any matter other than (3). Clause 3 In addition to this Notification, a

agency used for considering the issuance of license, registration or permission to operate the derivatives trade without having to apply for a license or registration including the rule used in supervising