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

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

available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC

technology, and the service provider that supports the operation of the organization’s information systems, and update contacts of each channel. Additional Guidelines 1. The intermediary should assign a senior

ตลาดหลักทรัพย์ C:\Users\lalidac\AppData\Local\Microsoft\Windows\Temporary Internet Files\Content.Outlook\UUHTEH5S\ประกาศวันหยุดเพิ่มเติม 11 สค 57.doc

SEC Thailand within 45 days after the last day of each calendar year. The CIS operator or local intermediary shall report the result of the sale to the SEC office within 45 days after the last day of

จาตุศรีพิทักษ์) รัฐมนตรีว่าการกระทรวงการคลัง ประธานกรรมการ คณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ C:\Documents and Settings\orawanp\Local Settings\Temporary Internet Files\OLKC3\ร่างประกาศชื่อสถาบัน

each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall

ตลาดหลักทรัพย์ C:\Documents and Settings\urairat\Local Settings\Temporary Internet Files\OLK16E\ประกาศ ส เรื่องแบบคำขอ (ม 22ว 2)-final.doc

: Contact person: Email: Name of local representative: Contact person: Email: Name of local intermediary: [in case of an ETF, please state the names of market maker and participating dealer of ETF] Contact