reference. PAGE 2 Notification of the Securities and Exchange Commission No. Kor Thor. 8/2549 Re: Preparation and Disclosure of Financial Statements of Derivatives Business Operators By virtue of Section 9
and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
who have suitable knowledge and ability for the duty; (2) Disclosure of information that is necessary for making investment decision to the client including investment risk, fees or expenses, conflict
the “implementation” section, and should review the appropriateness of the anti-corruption policy at least once a year. Disclosure may also include information on the Company’s declaration of intention
regulations of the Stock Exchange of Thailand. Clause 4. The management company shall be responsible for various expenses incurred from the incorrect unit value, e.g., expenses in placing an announcement of
, who have duty to communicate with or provide services to the client , to display themselves, by ways and means as determined by the intermediary , that they are assigned by the intermediary to provide
”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and
: ___________________________________________________________ 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
with the Home Regulator does not contain the information specified in the registration statement listed above and other disclosure requirements stipulated by the SEC Thailand. Part III Certification of
approved by, registered, or filed with the Home Regulator does not contain the information specified in the registration statement listed above and other disclosure requirements stipulated by the SEC