only) A CIS Operator must submit a completed Form 35 – foreign ETF in hard copies accompanied by all supporting documentation as specified in Form 35 – foreign ETF to the SEC Thailand for the
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
of the Law which prohibits any directors, managers, or responsible officers of digital asset business operator to obtain any unlawful benefits for themselves or others at the expense of the business
Information (Part II) (A) The registration statement (B) Prospectus [ ] 3. Certification of Information Accuracy (Part III) [ ] 4. Evidence on the appointment of an authorised person of CIS Operator Please
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
Operator Please print this checklist and include it as part of the package of this form Registration Statement for an offer for sale of units of foreign collective investment scheme Part I Fund Fact Sheet
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
Regulatory Summary Required documents for an approval of Foreign ETF (for inbound only) A CIS Operator must submit a completed Form 35 – foreign ETF in hard copies accompanied by all supporting
offered in Thailand This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the SEC Thailand within 45 days after the last day of each