able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any

/ converting an online branch office to a full branch office: 5.1 Name of branch manager: ........................................................... 5.2 Branch manager is also an investment consultant. Yes No

act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval

Category of Derivatives Fund Manager dated 23 January 2004; (2) The Notification of the Securities and Exchange Commission No. KorThor. 56/2547 Re: Licensing Derivatives Business Operator in the Category of

Commission No. KorNor. 8/2547 Re: Licensing Derivatives Business Operator in the Category of Derivatives Fund Manager dated 23 January 2004; (2) Notification of the Securities and Exchange Commission No

of the SEC Office □ Supporting document items are completed. □ Supporting documents items are not completed, and shall request for additional supplementary document as follows; 1

personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature

), since ………………(date)………….………, to ……….…(name of the current audit firm), since………..………(date)……….…………. In this regard, I have attached herewith the following supplementary documents: 1. Certification of

Securities and Exchange Commission Governing Rules, Conditions and Procedures for Approval of Property Fund Manager B.E. 2552 (2009) __________ By virtue of Clause 3 (1) and (2), Clause 11, Clause 19(6) and

that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the