eligible assets for investment, and being transparent and published appropriately). Gold price Part B: Information on the CIS Operator 10) Name of CIS Operator

. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking

directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business undertaking and details of asset appraisal Attachment 5: Unabridged

and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit

person to be the manager of the fund and the assets generated from the fund; (3) having an investment policy whereby investment in a business is made through entering into an agreement for investment in

. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10

system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and transparent allocation procedure

compliance or the internal audit unit, and the organization structure of for the unit responsible for custody of private fund assets shall have a clear scope and shall not combined with other unit which will

Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the