.* Undertaking to submit to the non-exclusive jurisdiction of the Host Jurisdiction’s courts (as per Appendix III of the Handbook for CIS Operators of ASEAN CISs) [ ] 5. Evidence on the appointment of a brokerage

and their subsidiaries for the previous accounting period , on a quarterly basis and the year-end period, categorizing as: the auditors giving opinion on the financial statements (signing partners), the

of THB100,000 (VAT exclusive) payable in the form of: [ ] [ ] · Bank draft / Corporate cheque / Cash · Receipt of money transfer [ ] 8. Other supporting documents ( please specify

demonstrating a comparison between the laws and regulations of Home and Host regulators relating to management of NRI CIS ( issued by CIS Operator ) 9. A fee of THB100,000 (VAT exclusive) payable in the form of

information for the following purposes prior to providing services: (1) knowing the client ; (2) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of

exclusive) payable in the form of: [ ] [ ] · Bank draft / Corporate cheque / Cash · Receipt of money transfer [ ] 8. Other supporting documents ( please specify

100,000 (VAT exclusive) payable in the form of receipt of money transfer [ ] 8. Other supporting documents (please specify) _________________________________________________ Please print this checklist and

of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is

) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of capital market products ; (4) considering ability of the client to perform in respect of servicing

following periods of time: (a) the information for the purpose of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval