Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the

[i] a juristic person established under foreign law which offers service as the exchange or over-the-counter center under the law of such country and [ii] is regulated by the government or securities

Clients of Securities Companies and Derivatives Intermediaries in order that an intermediary shall comply with such Notification by reaching same standard in practice. Clause 2 An intermediary shall provide

licensed or regulated by the SEC Thailand : Asset Management Company Licensed Bank/ Financial Institution Licensed Securities Company Licensed Institution/ Corporation/ Organisation (e.g. insurance company

Fund 13) Units of the Hong Kong Covered Fund will be offered/marketed/distributed in Thailand by the following intermediaries who are licensed or regulated by the SEC Thailand: Asset Management Company

: _______________________________________________________________________ 20) Is such representative regulated by or acceptable to the SEC Thailand? Yes No Address of registered office: _______________________________________________________________________

and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall

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

. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services