Checklist for ASEAN CIS Application Form Name of ASEAN CIS: ________________________________________________________ Name of Qualifying CIS Operator: ______________________________________________

) (name of the NRI CIS) Legal entity refers to the legal form of Thai CIS. CIS in Thailand is set up as a legal entity separate from the CIS Operator. In short, after obtaining approval from the SEC

objective in undertaking fund management business for short and long term. Objective should be set for the short-term plan and criteria/factor for evaluation of the accomplishment of the plan should be

number, mobile phone number or e-mail of which companies shall update a name list and contact information regularly. Additionally, companies should specify additional communication channels, such as SMS

on internal control and risk management related to SBL business which has been previously set in writing and approved by the board of directors of the business operator; (2) arrange to have in place a

E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position in the firm Address City State Postcode Country E-mail address Telephone number Fax

Checklist for Asia Region Funds Passport (ARFP) CIS Application Form Name of ARFP Passport Fund: _________________________________________________ Name of CIS Operator

disruption may have significant impact on their clients, undertakings, businesses, reputation, financial condition, and operating performance; “ use of mobile device ” means the use of mobile devices in the

Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification; “derivatives business operator” means any company licensed to undertake derivatives business in the

ผู้ใช้งาน การควบคุมอุปกรณ์คอมพิวเตอร์และสื่อสารเคลื่อนที่และการปฏิบัติงานจากภายนอกองค์กร (mobile computing and teleworking) เป็นต้น) ( การจัดให้มีการตรวจสอบและประเมินความเสี่ยงด้านสารสนเทศ อย่างน้อยปีละ