investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under warnings and recommendation

person: Email: Warnings: An investor considering the purchase of units of foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If

material update (effective date on _____________________ ) ( Form 69 – CIS material update (effective date on _____________________ ) Warnings: An investor considering the purchase of units of foreign

local representative: Name of local intermediary:[in case of an ETF, please state the names of market maker and participating dealer of ETF] Warnings: An investor considering the purchase of units of

have statements or warnings under Clause 15 or any other warnings presented clearly through any media or object and ensure that they are at least as prominent as the majority information in such

statements or warnings under Clause 11 or any other warnings presented clearly through any media or tools and ensure that they are at least as prominent as the majority information in such advertisement. For

has consented; (3) Clearly determining the customer’s rights particularly the right to receive information with respect to derivatives fund management; (4) Having necessary information and warnings

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...

public; (d) news and information related to the provision of services to service users. Clause 5 The SEC Office shall examine the qualifications of the applicant for a license under regulatory sandbox and

; (c) types of derivatives eligible for trading in the service providing system, including limitations or conditions of each type of derivatives; (d) news and information related to the operation for