service at the moment. If the investment advisory company under the first paragraph intends to resume the advisory service, the company shall give prior notice in writing to the Office, for not less than

TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...

(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...

number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock

________________________________________________________________________ ________________________________________________________________________ 7) Is the foreign ETF currently traded on any exchange that is a member of World Federation of Exchanges (“WFE”)? Yes No If

.: _________________________ 15) Is the CIS Operator currently licensed or authorised to conduct fund management in the jurisdiction of its principal place of business? Yes No If “No”, please specify

oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact

. Yes No If “No”, please specify __________________________________________________ _____________________________________________________________________ 2. I/We am/are not currently being subject to any

.: _________________________ 15) Is the CIS Operator currently licensed/ authorised/ approved by its Home Regulator to conduct the activities as specified by section 56 of the Passport Rules (Annex 3) of the MOC? Yes No If “No

.: _____________________________ Fax No.: ___________________________ 11) Is the Hong Kong Covered Management Company currently licensed by/registered with the Securities and Futures Commission of Hong Kong to conduct the