working hours of the associations for inspections. The related persons should facilitate assistance and convenience reasonably. The associations shall prepare and maintain a copy of a membership register at
/derivatives Statement report Confirmation note Transfer form Other documents such as a copy of share certificate, subscription form, etc. ● Contact evidence such as email and chat messages with the
practices are relatively infrequent considering the overall normal transactions in the capital market; however, damage incurred from a few cases could tarnish the confidence of investors and stakeholders on a
makes public offerings of Foreign ETF in Thailand: The CIS Operator is required to submit a hard copy of a completed Form 69 – CIS annually update to the SEC Thailand within 1 year after the
theSEC's website. Signatures of audit firm's leader and authorized director are required. Photocopy of the applicant's passport. Signature of the applicant to certify true copy is required. Photocopy of an
The followings are on-going requirements * for CIS Operator who makes public offerings of Foreign ETF in Thailand: The CIS Operator is required to submit a hard copy of a completed Form 69 – CIS
and authorized director are required. Photocopy of the applicant's passport. Signature of the applicant to certify true copy is required. Photocopy of an evidence of certified public accountant
ARFP Operator The followings are on-going requirements for CIS Operator who makes offerings of ARFP Passport Fund in Thailand: The CIS Operator is required to submit a hard copy of a completed Form 69