and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer

person: Email: Warnings: An investor considering the purchase of units of foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If

material update (effective date on _____________________ ) ( Form 69 – CIS material update (effective date on _____________________ ) Warnings: An investor considering the purchase of units of foreign

local representative: Name of local intermediary:[in case of an ETF, please state the names of market maker and participating dealer of ETF] Warnings: An investor considering the purchase of units of

the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise

Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules

investment advisory company; “giving advice” means giving advice, whether directly or indirectly, concerning the value of securities or suitability of investing in those securities, or the purchase or sale of

accruing from the assets under (a) to (c), for example, right to dividend or interest, right to purchase capital increase shares and right to attend and vote at a meeting of securities holders, etc. (2

its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records

futures) หุ้นกู้ที่มีอนุพันธ์แฝง (structured debenture) ข้าพเจ้าขอรับรองว่า ข้อมูลที่รายงานข้างต้นนี้ครบถ้วนและเป็นความจริงทุกประการ I hereby certify that the above report is complete and true in all