.* 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
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
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
indicate that the system of quality control is insufficient. 2) Systemic, repetitive or other significant deficiencies that require prompt corrective action 2 Does the firm communicate (Audit Compliance
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of
action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information