-- DRAFT Principles -- (Unofficial Translation) PAGE (Unofficial Translation) - 2 - Readers should be aware that only the original Thai text has legal force and that this English translation is

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

informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance

estimated period of spending such amount. 4. Others: Ex. As working capital Remarks: 1. Disclose the estimated net amount of the proceeds broken down into each principal intended use thereof, which can be

such approach follows the principles and requirements concerning information technology system prescribed in the Notification No. Tor Thor. 35/2556 and the Notification No. SorThor. 37/2559 . Clause 2

management scheme in compliance with the steps and procedures within the specified period and has attached all supporting documents as specified in the notification of the Office. In the consideration and

demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets

, the Office may specify conditions for the securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable

funds. Clause 4 For the establishment and management of a fund , the management company shall comply with the principles of business undertaking under the Notification of the Office of Securities and

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