market regulator, which is accepted by the Office, to perform the duties similar to fund manager. Clause 8. Any person to be approved to be listed in the register of person qualified to be fund manager
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
Exchange Commission No. SorNor. 27/2550 Re: Rules, Conditions and Procedures for Appointment and Conduct of Fund Manager __________ By virtue of Clause 2 (1), Clause 10 and Clause 19 of the Notification of
the CIS 1.3 Amount and details of units of the CIS offered for sale 1.4 Expected selling price per unit (e.g. NAV or NAV+front-end fee) 1.5 Financial statement (if applicable) 1.6 Fund manager and major
Fund manager and major unitholders of the CIS (if applicable) 1.7 Auditor 1.8 Procedures for offering of the CIS units (B) Prospectus CIS operator must prepare a wrapper in case the prospectus as
/ converting an online branch office to a full branch office: 5.1 Name of branch manager: ........................................................... 5.2 Branch manager is also an investment consultant. Yes No
Home Jurisdiction: ___________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by Qualifying CIS Operator ) [ ] 2.* Standard letter issued by the Home Regulator to a
characteristics ”5 means other capital market products which is not capital market product having high-risk or complex characteristics; “ general manager ” means a person who is assigned by the board of directors
under the Interest on Loan of Financial Institutions Act B.E. 2523 (1980) , except as specified in Chapter 7. “ capital market product ” means securities and derivatives. “ general manager ” means a
established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the