local representative in Thailand Information as of XX XX XXXX Name of the ASEAN CIS Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation

”, “short-term bond”, “short-term bill”, “institutional investor”, “high net worth investor”, “registration statement”, “parent company”, “subsidiary”, “executive”, “major shareholder”, and “controlling

In this Notification: The terms “credit rating”, “bill”, “short-term bill”, “registration statement”, “listed company”, “parent company”, “subsidiary”, “executive”, “controlling person”, “high net

weighted average scores for each TSQC1 element from the first-cycle and the second-cycle of firm-level inspections The SEC found that the audits of listed companies’ financial statements were of high quality

Company Limited Factsheet Information as of XX XX XXXX ABCD Mutual Fund Unit Class SRI Fund Class code Type of mutual fund / Peer group of mutual funds Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile

seriously come into question, especially when it involves those with high-level positions. The SEC, then, prefers that audit firms limit their risk exposures by progressively reducing the extent of personal

statistical information Our focus for 2014 2 4 8 15 19 33 37 40 47 49 Summary of inspection results A. Firm level B. Engagement level A. Firm level B. Engagement level 1 Thai capital market is one of the

Determining Additionally Referred Underlying of a Derivatives in Type of Goods and Variables

Short Selling of ETF and Securities Being Underlying of ETF by a Securities Company

Application for and Approval of Offer for Sale of Newly Issued Share Warrants and Underlying Shares