. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One

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

Notification and such office shall remain operative under the scope of operations prescribed under the said Notification. The service office shall also be subject to this Notification and other notifications

arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of

companies means investments in subsidiary and associated companies holding by the company and subject to the accounting standard which records such investment by the Equity Method. In case of any holding of

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

of the outbound product is not subject to any prohibition order by the regulators: (a) being a regulator which is a member of the International Organization of Securities Commissions (“IOSCO”) and is

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

product in support of their investment decision making; (3) To disclose the fees charged to the clients by the intermediary . Clause 8 In case of providing services to clients who are subject to the

the Securities and Exchange Act B.E. 2535 (1992) ; or (b) an appointment of third party to be a service provider in any matter which has already been subject to specific regulations under other