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

between Hong Kong Special Administrative Region of the People's Republic of China and Thailand (HK-TH MRF) Name of CIS operator: Tel/Fax: Website: Contact person: Email: Name of local representative

: 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

firm to perform duty as local intermediary in Thailand ( issued by Qualifying CIS Operator ) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the Qualifying CIS

Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand ( issued by CIS Operator ) [ ] 4

appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company) [ ] 4. Evidence on the appointment of a local representative in Thailand as

case of foreign ETF established as trust [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator ( issued by CIS Operator ) [ ] 5. Evidence on the

established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand ( issued by

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

appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.