which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

Securities and Exchange Commission Governing Rules, Conditions and Procedures for Appointment and Conduct of Fund Manager B.E. 2552 (2009) __________ By virtue of Clause 3 (1) and (2), Clause 11, Clause 19(6

of the outbound product is not subject to any prohibition order by the regulators: (a) being a regulator which is a member of the International Organization of Securities Commissions (“IOSCO”) and is

approved person is in compliance with this Notification and the governing laws or associated regulations. Clause 6 The SEC Office shall have the authority to revoke an approval in the following conditions

approved person is in compliance with this Notification and the governing laws or associated regulations. Clause 5 The SEC Office shall have the authority to revoke an approval in the following conditions

with other laws shall comply with such governing laws.

governing approval for auditor” means the Notification of the Office of the Securities and Exchange Commission governing approval for auditor issued under the Securities and Exchange Act B.E. 2535 (1992

Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors

: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Part H: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the authority

Office to participate in a regulator sandbox in accordance with this Notification. “ executive ” means a manager, deputy manager, assistant manager, departmental director or any equivalent position called