: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify

reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency

Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency ____________________ By virtue of Section 16/6 and

debt instruments or investment unit, or securities financing business under the Securities and Exchange Act ; (3) a juristic person established under foreign law, which is a derivatives business operator

of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand

countries; (2/1) giving advice by foreign derivatives business operators which is specifically intended for institutional investors and concerns derivatives contracts overseas in which institutional investors

For the purpose of considering an application for approval as a foreign auditor in the Capital Market for Mr./Mrs./Miss …………………………………………... (applicant’s name) by the Securities and Exchange Commission

foreign service provider ] intermediaries shall outsource the function which is investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider

number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock

and is subject to anti-money laundering and terrorist financing regulatory and oversight regime that is comparable to international standards accepted by the Office, e.g. Financial Action Task Force