contacts. 4.3 Information on training and seminar to be filed with the Office Information to be filed with the Office shall at least contain the followings: (1) the course name; (2) the organizer name; (3

management arrangement and shall be filed with the Office before proceeding with the fund management under the contract. Clause 2 This Notification shall come into force as from 16 August 2009. Notified this

be filed in the following period: (1) In case of the applicant under Clause 5(1), (2), (3) and (4), Clause 6, Clause 7 and Clause 8, the application shall be filed from the date from which this

necessity prior to the end of such period of time. Clause 4. In the case where there appears later a change of any material information provided in the application filed with the Office, the securities

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 approved by, registered, or filed

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

maintenance of capital from January to June of each year, the report shall be filed within 7th July of such year; (2) in case of maintenance of capital from July to December of each year, the report shall be

Futures Exchange of Thailand on 30 December 2014, and had filed an application for obtaining derivatives business license type Sor-1 prior to the termination of such Act. (11)3 a person who obtains

liquid capital more than the aforesaid rate for at least two consecutive business days and a securities company has already filed the report of net liquid capital calculation of those two consecutive

Office considers the qualifications for the registration of qualified fund supervisor; (2) During the course of three years preceding the year when the application is filed up until the date of