”)? Yes No If you answered “Yes” please skip to the question number 4.5 4.3 Is the audit oversight authority you registered with in the country that is recognised by the European Commission as equivalence

(Form 61-2) (The same form as submitted to the SEC Office for approval request, which contains current information, is acceptable). For your kind consideration. Yours sincerely, Signature

and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By

list of asset that an investor would be able to exchange with ETF units according to the requirements of such ETF . “ exchanging in-kind ” means entering into the following transactions with a management

of consideration of my application and supervision of my duty performance throughout the approval period. For your kind consideration. Yours Sincerely, Signature

Credit หรือทำสัญญาซื้อขาย Carbon Credit ล่วงหน้ากับโครงการลดการปล่อยก๊าซเรือนกระจก และจ่ายผลตอบแทนหรือคืนทุนให้ ผู้ลงทุนเป็น Carbon Credit (pay in kind) นอกจากนี้ กองทุนยังสามารถลงทุนในตราสารทุนหรือ ตราสาร

proceed with the order of any kind of futures trading of an investor which has an objective to limit potential loss of futures trading such as the stop loss or stop limit order, etc., due to the unfavorable

, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example

the firm promote tax structures or products or provide tax advice - what kind of advice? How does it ensure that there is no doubt as to the related accounting treatment regarding the true and fair view

private fund management is the service on the management of the investment capital of investor which is the kind of business which the service provider shall have creditworthiness and trust to manage