Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS material update [ ] 1. The Update Statements [ ] Any documents relevant to

public auditor. The provision of the first paragraph shall not apply to a derivatives advisor.

whichever name of position of such person is called; “investment consultant” 9 means a person giving investment consultation to investors, relating to solicitation for investment or providing consultation for

Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS annually update [ ] 1. Fund Fact Sheet / Product Highlight Sheet (Part I

. “investment consultant” means a person providing investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product

category of investment consultant or derivatives intermediary in the category of derivatives advisor gives investment advice to clients by taking into account the appropriateness of the investment, the

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an

the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an

providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the

) Person in which the fund manager has held shares exceeding thirty percent of the total outstanding shares of such person (c.5) Person who is an investment advisor of the management company or the fund (c.6