Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand ( issued by CIS Operator ) [ ] 4

case of foreign ETF established as trust [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator ( issued by CIS Operator ) [ ] 5. Evidence on the

available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC

the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls

Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5

Exchange Commission No. Kor Thor. 7/2539 Re: Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the

ตลาดหลักทรัพย์ C:\Users\lalidac\AppData\Local\Microsoft\Windows\Temporary Internet Files\Content.Outlook\UUHTEH5S\ประกาศวันหยุดเพิ่มเติม 11 สค 57.doc

SEC Thailand within 45 days after the last day of each calendar year. The CIS operator or local intermediary shall report the result of the sale to the SEC office within 45 days after the last day of

จาตุศรีพิทักษ์) รัฐมนตรีว่าการกระทรวงการคลัง ประธานกรรมการ คณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ C:\Documents and Settings\orawanp\Local Settings\Temporary Internet Files\OLKC3\ร่างประกาศชื่อสถาบัน

each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall