print this checklist and include it as part of the package of this form Registration Statement for an offer for sale of units of foreign collective investment scheme Part I Fund Fact Sheet Part II Key

Operator Please print this checklist and include it as part of the package of this form Registration Statement for an offer for sale of units of foreign collective investment scheme Part I Fund Fact Sheet

. Evidence on the appointment of an authorised person of CIS Operator Please print this checklist and include it as part of the package of this form Registration Statement for an offer for sale of units of

in Appendices of the Handbook for CIS Operators of ASEAN CISs. Please print this checklist and include it as part of the package of this form ASEAN CIS Application Form To: Secretary-General Securities

application within the period specified as follows shall be exempt from having the qualifications under Clause 5: (1) Being a person who has passed the examination on knowledge of investment advisor from

person responsible for risk management who is independent from the operator shall be assigned; (2) The calculation of fair value of instruments and the examination of the management on compliance with the

) ________________________________________ Please print this checklist and include it as part of the package of this form Foreign Exchange-Traded Fund (ETF) Application Form To: Secretary-General Securities and Exchange Commission, Thailand

cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a

examination and the letter notifying the result of the examination or the letter notifying the order issued by an organization which regulates the undertaking of the applicant’s business within the period of 3

include it as part of the package of this form NRI CIS Application Form To: Secretary-General Securities and Exchange Commission, Thailand Re: Application to offer NRI CIS to non-retail investors in