shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or

application (if applicable). Part A: Foreign ETF Information 1) Name of Foreign ETF: _____________________________________________________ 2) Home Economy

proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An

with the Notification of the SEC Office. Clause 4 The provision as prescribed in Clause 3 shall not be applicable to a securities company which has ceased operation of all kinds of securities business

the CIS 1.3 Amount and details of units of the CIS offered for sale 1.4 Expected selling price per unit (e.g. NAV or NAV+front-end fee) 1.5 Financial statement (if applicable) 1.6 Fund manager and major

/ policy 1.2 Capital of the CIS 1.3 Amount and details of units of the CIS offered for sale 1.4 Expected selling price per unit (e.g. NAV or NAV+front-end fee) 1.5 Financial statement (if applicable) 1.6

accordance with the Notification of the Office of the Securities and Exchange Commission. Clause 2/1 1 The provision as prescribed in Clause 3 shall not be applicable to a derivatives broker which has ceased

job title; (5) “Training Institute” means training institutes accepted by the Office; Chapter 1 Scope of the Applicability ____________________ Clause 3 . This Notification shall not apply to the

to offer the NRI CIS to non-retail investors in Thailand. In this regard, I/we have completed the application form and enclosed all relevant documents in support of this application (if applicable

under (1). Clause 3. The provision of Clause 2 shall not be applicable in the event that the Stock Exchange of Thailand issues a trading halt on listed securities of PTT Public Company Limited on 14