non-public information, operational rules for the prevention of the disclosure of confidential information should be prescribed. 4. Criteria for selection of personnel for each unit shall encompass the

License to be Derivatives Broker _____________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and

the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section

(2008) which contain certain provisions in relation to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44

supervisor. Clause 3 The commitment shall contain at least a particular describing the material information as follows: (1) name of the mutual fund scheme; (2) details of the mutual fund scheme containing the

of an authorised person of CIS Operator Please print this checklist and include it in the package of this form Page 2 of 5 Form 69 – CIS full Registration Statement for an offer for sale of units of

authorised person of CIS Operator Please print this checklist and include it as part of the package of this form Form updated as of June 2021 Page 2 of 5 Form 69 – CIS full Registration Statement for an offer

appointment of an authorised person of CIS Operator Please print this checklist and include it as part of the package of this form Form updated as of June 2021 Page 2 of 5 Form 69 – CIS annually update

of Information Accuracy [ ] 3. Evidence on the appointment of an authorised person of CIS Operator Please print this checklist and include it as part of the package of this form Form updated as of June

Clause 2(2) must cover all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient