Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors

by CIS Operator ) [ ] 6. A document demonstrating that the investment policy and product restrictions of NRI CIS are in accordance with those specified by the Notification of the SEC Thailand relating

to impose sanctions or to order the CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify

authority to impose sanctions or to order the CIS Operator of the ARFP Passport Fund to act or refrain from acting in case there is an action which may cause damages to the interest of members of the Passport

: Declaration I/We certify the following: 1. I/We am/are under supervision of the Securities and Futures Commission of Hong Kong which has the authority to impose sanctions or to order the Hong Kong Covered

part; 2.2.3 Foreign investment risk (in case the issuer is a foreign company). Identify and clarify the risk characteristics under the governing regulations7 including other restrictions related to

Office may proceed to impose sanctions as follows: (1) Probation; (2) Suspension of operation for a specified period or according to specified conditions; (3) Revocation of approval. In case where the

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ - 21 - (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. FORM 56-1 Annual Registration Statement For the financial year ending DATE MONTH YEAR Company: ............................................................................................... Note : This annual registration statement (Form 56-1) contains minimum information required to be discl...

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................

including the code of conduct announced by the derivatives dealer in compliance with this Notification. Chapter 2 Restrictions in Undertaking Derivatives Business Clause 6 1 In providing services as