Relationship between your firm and the network (e.g. full member, associated firms) Does the firm fully apply the policies procedures and audit methodologies of the network? Yes No 3. Registration with an audit

places and by the methods specified in the prospectus and the registration statement. In cases where the capital market products under subclause (1) of Paragraph 1 are investment units of an exchange

. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue

Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of

. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One

Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS full [ ] 1. Fund Fact Sheet/ Product Highlight Sheet (Part I) [ ] [ ] 2. Key

Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS annually update [ ] 1. Fund Fact Sheet / Product Highlight Sheet (Part I

Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS material update [ ] 1. The Update Statements [ ] Any documents relevant to

and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be

Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities